Federal Register / Vol. 86, No. 120 / Friday, June 25, 2021 / Notices 33787 

1United States Postal Service Request for an 

Advisory Opinion on Changes in the Nature of 

Postal Services, June 17, 2021 (Request). FCPS ‘‘is 

a mailing service available for lightweight 

packages—for retail mailers, the weight of the 

package cannot exceed 13 ounces; for commercial 

mailers, the weight of the package cannot exceed 

15.999 ounces.’’ Notice of Pre-Filing Conference, 

May 25, 2021, at 1, n.1 (Notice). 2See United States Postal Service, Delivering for 

America: Our Vision and Ten-Year Plan to Achieve 

Financial Sustainability and Service Excellence, 

March 23, 2021, at 3, available at https://

about.usps.com/what/strategic-plans/delivering-foramerica/assets/USPS_Delivering-For-America.pdf 

(Postal Service’s Strategic Plan). Further 

information related to the Postal Service’s Strategic 

Plan is available at https://about.usps.com/what/ 

strategic-plans/delivering-for-america/. 

3Notice and Order Concerning the Postal 

Service’s Pre-Filing Conference, May 26, 2021, at 1– 

4 (Order No. 5900). 

Title: Disabled Dependent 

Questionnaire. 

OMB Number: 3206–0179. 

Frequency: On occasion. 

Affected Public: Individual or 

Households. 

Number of Respondents: 2,500. 

Estimated Time per Respondent: 1 

hour. 

Total Burden Hours: 2,500 hours. 

Office of Personnel Management. 

Alexys Stanley, 

Director, Office of Privacy and Information 

Management. 

[FR Doc. 2021–13529 Filed 6–24–21; 8:45 am] 

BILLING CODE 6325–38–P 

POSTAL REGULATORY COMMISSION 

[Docket No. N2021–2; Order No. 5920] 

Service Standard Changes 

AGENCY: Postal Regulatory Commission. 

ACTION: Notice. 

SUMMARY: The Commission is 

acknowledging a recently-filed Postal 

Service request for an advisory opinion 

on the service standards for First-Class 

Mail Package Service (FCPS). This 

document invites public comments on 

the request and addresses several 

related procedural steps. 

DATES: Notices of intervention are due: 

July 1, 2021; Live WebEx Technical 

Conference: June 28, 2021, at 11:00 a.m., 

Eastern Daylight Time, Virtual. 

ADDRESSES: Submit notices of 

intervention electronically via the 

Commission’s Filing Online system at 

http://www.prc.gov. Persons interested 

in intervening who cannot submit their 

views electronically should contact the 

person identified in the FOR FURTHER

INFORMATION CONTACT: David A. Trissell, 

General Counsel, at 202–789–6820. 

SUPPLEMENTARY INFORMATION: 

Table of Contents 

I. Introduction 

II. Pre-Filing Issues 

III. The Request 

IV. Initial Administrative Actions 

V. Ordering Paragraphs 

I. Introduction 

On June 17, 2021, the Postal Service 

filed a request for an advisory opinion 

from the Commission regarding planned 

changes to the service standards for 

First-Class Package Service (FCPS).1 The 

intended effective date of the Postal 

Service’s planned changes is no earlier 

than October 1, 2021. Request at 1. The 

Request was filed pursuant to 39 U.S.C. 

3661 and 39 CFR part 3020. Before 

issuing its advisory opinion, the 

Commission shall accord an 

opportunity for a formal, on-the-record 

hearing pursuant to 5 U.S.C. 556 and 

557. 39 U.S.C. 3661(c). This Order 

provides information on the Postal 

Service’s planned changes, explains and 

establishes the process for the on-therecord hearing, and lays out the 

procedural schedule to be followed in 

this case. 

II. Pre-Filing Issues 

On March 23, 2021, the Postal Service 

published a 10-year strategic plan 

announcing potential changes intended 

to achieve financial stability and service 

excellence.2 In connection with this 

publication, on May 25, 2021, the Postal 

Service also filed a notice of its intent 

to conduct a pre-filing conference 

regarding its proposed changes to the 

service standards for FCPS, which 

would ‘‘generally affect service on a 

nationwide or substantially nationwide 

basis.’’ Notice at 1 (quoting 39 U.S.C. 

3661(b)). 

On May 26, 2021, the Commission 

issued Order No. 5900, which 

established Docket No. N2021–2 to 

consider the Postal Service’s proposed 

changes, notified the public concerning 

the Postal Service’s pre-filing 

conference, and appointed a Public 

Representative.3 Due to the COVID–19 

pandemic, the Postal Service held its 

pre-filing conference virtually on June 8, 

2021, from 1:00 p.m. to 2:00 p.m. 

Eastern Daylight Time (EDT). See 

Request at 2. The Postal Service asserts 

that it completed the pre-filing 

requirements appearing in 39 CFR 

3020.111 and certifies that it has made 

a good faith effort to address concerns 

of interested persons about the Postal 

Service’s proposal raised at the prefiling conference. See id. 

III. The Request 

A. The Postal Service’s Planned 

Changes 

The Postal Service states that the 

existing service standards for FCPS 

mirror the existing service standards 

applied to Market Dominant SinglePiece First-Class Mail (letter- and flatshaped mailpieces). See Request at 3. 

The Postal Service’s proposed changes 

for FCPS are similar to the changes 

proposed for Market Dominant FirstClass Mail in Docket N2021–1, because 

the FCPS service standards would also 

be adjusted to account for additional 

drive time between origin and 

destination processing facilities. See 

Notice at 2; see also Request at 3. 

However, the actual service standards 

that the Postal Service proposes to apply 

to FCPS would differ from those 

proposed for First-Class Mail. See id. 

The Postal Service plans for its 

proposed changes for FCPS to become 

effective no earlier than October 1, 2021. 

See Request at 1. 

The Postal Service proposes to 

expand the scope of the existing 2-Day 

service standard applied to FCPS. See 

Request at 3. For FCPS within the 

contiguous United States, the Postal 

Service proposes to narrow the scope of 

the existing 3-Day service standard; 

instead 4-Day and 5-Day service 

standards would apply to certain FCPS 

traveling longer distances between 

origin and destination. See id. Overall 

for FCPS volume within the contiguous 

United States, the Postal Service 

projects that approximately 23.6 percent 

would be subject to the proposed 2-Day 

service standard; 44.5 percent would be 

subject to the proposed 3-Day service 

standard; approximately 17.3 percent 

would be subject to the proposed 4-Day 

service standard; and approximately 

14.6 percent would be subject to the 

proposed 5-Day service standard. See id. 

at 4, Figure 1. The Postal Service 

projects that pharmaceutical volume 

would experience less impact from the 

proposed changes than other FCPS 

volume, estimating that almost all 

pharmaceutical volume currently 

subject to the 2-Day service standard 

and the majority of pharmaceutical 

volume currently subject to the 3-Day 

service standard would remain subject 

to those respective service standards. 

See id. at 5. 

Specifically, the Postal Service 

proposes to apply the following service 

standards to FCPS. 


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33788 Federal Register / Vol. 86, No. 120 / Friday, June 25, 2021 / Notices 

4See id. at 9–11. The Postal Service observes that 

the Commission has concluded that the universal 

service obligation extends to competitive products. 

See id. at 9, n.1 (citing Postal Regulatory 

Commission, Report on Universal Postal Service 

and the Postal Monopoly, 25, December 19, 2008, 

available at https://www.prc.gov/docs/61/61628/ 

USO%20Report.pdf). 

B. The Postal Service’s Position 

The Postal Service states that 

attempting to meet the existing service 

standards has led to high costs, 

transportation inefficiencies, and 

difficulties in providing reliable and 

consistent service performance. See 

Request at 6. The Postal Service 

explains that transporting FCPS by 

surface (trucks) is more reliable and 

cost-effective than air transportation. 

See id. The Postal Service asserts that 

the proposed changes would allow the 

Postal Service to use surface rather than 

air transportation for more FCPS 

between additional Postal Service origin 

and destination processing facilities (OD 

Pairs). See id. The Postal Service states 

that the proposed changes could 

generate a net improvement to the 

Postal Service’s finances of 

approximately $55 million annually, 

when considering transportation cost 

savings and the Postal Service’s estimate 

that the proposal would not materially 

impact FCPS volumes. See id. at 8. 

The Postal Service asserts that 

implementing the proposed changes 

would enable it to: Provide more 

reliable and consistent service 

performance, improve its ability to run 

according to its operating plans and 

optimize its surface transportation 

network, increase its use of more costeffective air carriers for volume that will 

continue to be transported by air (such 

as volume destined for non-contiguous 

areas), achieve significant cost savings 

due to the creation of a more efficient 

transportation network, and implement 

future operational benefits. See id. at 6– 

9. It adds that the proposed changes are 

a key component of the Postal Service’s 

Strategic Plan, intended to achieve 

financial stability and service 

excellence. See id. at 9. 

Further, the Postal Service asserts that 

the proposed changes would conform to 

the policies of title 39, United States 

Code. See id. at 9–12. The Postal Service 

discusses how the proposed changes 

would continue to satisfy the universal 

service provisions appearing in 39 

U.S.C. 101, 403, and 3661(a) under the 

proposed service standards.4 The Postal 

Service also asserts that the proposed 

changes would not impair compliance 

with the policies of 39 U.S.C. 3633, 

which govern the financial performance 

of competitive products. See Request at 

11–12. 


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Notes: 

Figure 1 

e48 contiauous sblt• where 

AOC, and dffllnation SCF ls 

' ' ' and/or destlnatin, In no -_--- ' 

•fCPS fer whk:~ the~ time within ~u contiguoi.1$ state$ between origin P&OCI', 

destination AOC;and d9$tlnatlon SCF exceeds __ 50 hours 

•All other f(:PS t<> nori<ontiauous United States ~s 

• Specfflcally, thlS refers to the folloWlng: 

• FCPS originating in the COntigUOUS 48 states destined to the city of Anchorage. Alaska, 

the 968 3-0iglt ZIP Code area In Hawali, or the 006, 007, or 009 3-0iglt ZIP Code areas 

in Puerto Rico. 

• FCPS originating in the 006, 007, or 009 3-Dlglt ZIP Code areas In Puerto Rico and the 

deSttnatlon IS in the contiguous 48 states. 

• FCPS originating in Hawaii and the destination IS In Guam, or Vice versa. 

• FCPS originating In Hawaii and the destination Is In Amerk:an Samoa, or Vice versa. 

• FCPS for WlliCh both the origin alld destination are Wittlin Alaska. 

Request at 5. 

"SCP refers to "Secilonal center Fadlify."' Id 3t 3. 'With resped: to a paltlcular SCF, "tntra-SCP 

refers to VOiumes that Originate and ~ within the 3-Dlglt,ZIP Code areas assigned to that SCF In 

the DOrnestlc Mall Manual alld "Inter-SCP refers to VOiumes that origlnate OIJtslde those 3-0lglt ZIP Code 

areas. RevlSed service Standards for Mart<et-Oomlnant Mail Products, 77 Fed. Reg. 31,190, 31,194, 

n.12 (May 25, 2012) (COdlfled at 39 CFR pt 121). "P&DCP refers to Processing & Dlstrlbution center or 

Facfflty. Request at 3, "ADC" refers to Area OistflbUtlon Center. 77 Fed. Reg. 31,192; 

SOUrce: Requestat3, 5. 
Federal Register / Vol. 86, No. 120 / Friday, June 25, 2021 / Notices 33789 

C. The Postal Service’s Direct Case 

The Postal Service is required to file 

its direct case along with the Request. 

See 39 CFR 3020.114. The Postal 

Service’s direct case includes all of the 

prepared evidence and testimony upon 

which the Postal Service proposes to 

rely on in order to establish that its 

proposal accords with and conforms to 

the policies of title 39, United States 

Code. See id. The Postal Service 

provides the direct testimony of three 

witnesses and identifies a fourth 

individual to serve as its institutional 

witness and provide information 

relevant to the Postal Service’s proposal 

that is not provided by other Postal 

Service witnesses. 

Additionally, the Postal Service filed 

seven library references, four of which 

are available to the public and three of 

which are designated as non-public 

material. 


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Table 1 

Postal Service Witnesses 

Witness Topic{sJ Designation 

1. Stephen B. 

~. • The proposed service standard changes USPS~T-1 

and their benefits 

• How the proposed service standard 

changes would affect current mail volume 

in the contiguous United States (including 

the actual impact of the proposed 

changes, in terms of changes to the OD 

Pairs, as well as current FCPS volume) . 

2. Michelle • The overall impact of the proposed service USPS-T-2 

Kim standard changes on the Postal Service's 

financial situation 

• The projected transportation cost savings 

related to the proposal 

3. ThomasJ. • Trends in the lightweight package market USPS-T-3 

Ed • How the proposed serviee standard 

changes· may impact customer satisfaction 

• The market research conducted to 

estimate the potential·volume· and 

contnbution impact of the proposed··service 

standard chaooes 

4. Sharon • Institutional witness capable of providing None filed 

Owens infonnation relevant to the Postal Service's 

proposl:ll that is not provided by other 

Postal Serviee witnesses 

Source: Request at 2, 4, 6-8. 
33790 Federal Register / Vol. 86, No. 120 / Friday, June 25, 2021 / Notices 

5See Docket No. RM2012–4, Order Adopting 

Amended Rules of Procedure for Nature of Service 

Proceedings Under 39 U.S.C. 3661, May 20, 2014, 

at 18 (Order No. 2080). 

IV. Initial Administrative Actions 

A. General Procedures 

The procedural rules in 39 CFR part 

3020 apply to Docket No. N2021–2. 

Before issuing its advisory opinion, the 

Commission shall accord an 

opportunity for a formal, on-the-record 

hearing pursuant to 5 U.S.C. 556 and 

557. 39 U.S.C. 3661(c). The Commission 

will sit en banc for Docket No. N2021– 

2. See 39 CFR 3020.122(b). Due to the 

COVID–19 pandemic, the Commission 

is conducting all business, including 

any hearing or public meeting for 

Docket No. N2021–2 virtually and not in 

person. 

B. Scope 

Docket No. N2021–2 is limited in 

scope to the specific changes proposed 

by the Postal Service in its Request. See 

39 CFR 3020.102(b). To the extent that 

participants raise alternative proposals 

and present reasons why those 

alternatives may be superior to the 

Postal Service’s proposal, the 

Commission would interpret such 

discussion as critiquing the specific 

changes proposed by the Postal Service 

in its Request.5 However, the 

Commission would not evaluate or 

opine on the merits of such alternative 

proposals in its advisory opinion. See 

Order No. 2080 at 18. Pursuant to its 

discretion, the Commission may 

undertake evaluation of alternatives or 

other issues raised by participants in 

separate proceedings (such as special 

studies or public inquires). See 39 CFR 

3020.102(b). Moreover, any interested 

person may petition the Commission to 

initiate a separate proceeding (such as a 

rulemaking or public inquiry) at any 

time. See 39 CFR 3010.201(b) (initiation 

of notice and comment proceedings). 

C. Designation of Presiding Officer 

Pursuant to 39 CFR 3010.106 and 

3020.122(b), the Commission appoints 

Commissioner Ann C. Fisher to serve as 

presiding officer in Docket No. N2021– 

2, effective immediately. In addition to 

the authority delegated to the presiding 

officer under 39 CFR 3010.106(c), the 

Commission expands the presiding 

officer’s authority to allow her to 

propound formal discovery requests 

upon any party, at her discretion. The 

numerical limitation on interrogatories 

appearing in 39 CFR 3020.117(a) shall 

not apply to the presiding officer. The 

Commission also authorizes 

Commissioner Fisher to rule on 

procedural issues such as motions for 

late acceptance and discovery-related 

matters such as motions to be excused 

from answering discovery requests. 

Commissioner Fisher shall have 

authority to issue any ruling in this 

docket not otherwise specifically 

reserved to the Commission by 39 CFR 

3020 and 3010.106. 

D. Procedural Schedule 

The Commission establishes a 

procedural schedule, which appears 

below the signature of this Order as 

Attachment 1. See 39 CFR 3010.151, 

3020.110; see also 39 CFR part 3020 

Appendix A. These dates may be 

changed only if good cause is shown, if 

the Commission later determines that 

the Request is incomplete, if the 

Commission determines that the Postal 

Service has significantly modified the 

Request, or for other reasons as 

determined by the Commission. See 39 

CFR 3020.110(b) and (c). 


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Table2 

P tal S Lib Rf 

Designation l'iHe S1onsori119 

• LR-N2021-2-1 Calculating Transportation Cost 

Changes 

• LR-N2021-2-2 Model Input Data 

• LR-N2021-2-3 Model Defining Tools 

• LR-N2021-2-4 Model Results 

Witne$s 

Michelle Kim 

~ 

Stephen B. 

~ 

Stephen B. 

~ 

Stephen B. 

Note: The Postal Service filed the three non-publle library references under seal (Shaded In the 

above table), asserting that they consist of detailed volume and cost Information regarding purchased 

transportatiOn; data that reveal cost, volume, wetg.ht, modes of transportation, transportation WindOws, 

service performance lnformatiOn for competitive products; and market research on FCPS developed by 

an external firm on behalf of the Postal Service. see Notice of United States Postal servlee of Flllng of 

Library References and Application for Non-Public Treatment, June 17, 2021, Application of the Postal 

Service for Non-Public Treatment, at 1, 3-6. 

Source: Notice of United States Postal service of FIiing of Library References and Applleatlon for 

Non-Public Treatment, June 17, 2021. 
Federal Register / Vol. 86, No. 120 / Friday, June 25, 2021 / Notices 33791 

6See 39 CFR 3011.300, 3011.302–304. 

7Based upon the pro forma schedule set forth in 

appendix A of 39 CFR part 3020, this technical 

conference would be set for day 10, which would 

be Sunday June 27, 2021; however, this date is 

adjusted to Monday June 28, 2021, in accordance 

with 39 CFR 3020.103. 

E. How To Access Material Filed in This 

Proceeding 

1. Using the Commission’s Website 

The public portions of the Postal 

Service’s filing are available for review 

on the Commission’s website (http://

www.prc.gov). The Postal Service’s 

electronic filing of the Request and 

prepared direct evidence effectively 

serves the persons who participated in 

the pre-filing conference. See 39 CFR 

3020.104. Other material filed in this 

proceeding will be available for review 

on the Commission’s website, unless the 

information contained therein is subject 

to an application for non-public 

treatment. 

2. Using Methods Other Than the 

Commission’s Website 

The Postal Service must serve hard 

copies of its 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.’’ 39 

CFR 3020.104. If you demonstrate that 

you are unable to effectively use the 

Commission’s Filing Online system or 

are unable to access the internet, then 

the Secretary of the Commission will 

serve material filed in Docket No. 

N2021–2 upon you via First-Class Mail. 

See 39 CFR 3010.127(b) and (c). You 

may request physical service by mailing 

a document demonstrating your need to 

the Office of Secretary and 

Administration, Postal Regulatory 

Commission, 901 New York Avenue 

NW, Suite 200, Washington, DC 20268– 

0001. Service may be delayed due to the 

impact of the COVID–19 pandemic. 

Pursuant to 39 CFR 3010.127(c), the 

Secretary shall maintain a service list 

identifying no more than two 

individuals designated for physical 

service of documents for each party 

intervening in this proceeding. 

Accordingly, each party must ensure 

that its listing is accurate and should 

promptly notify the Secretary of any 

errors or changes. See 39 CFR 

3010.127(c). 

3. Non-Public Material 

The Commission’s rules on how to 

file and access non-public material 

appear in 39 CFR part 3011. Each 

individual seeking non-public access 

must familiarize themselves with these 

provisions, including the rules 

governing eligibility for access; nondissemination, use, and care of the nonpublic material; sanctions for violations 

of protective conditions; and how to 

terminate or amend access.6 Any person 

seeking access to non-public material 

must file a motion with the Commission 

containing the information required by 

39 CFR 3011.301(b)(1)–(4). Each motion 

must attach a description of the 

protective conditions and a certification 

to comply with protective conditions 

executed by each person or entity (and 

each individual working on behalf of 

the person or entity) seeking access. 39 

CFR 3011.301(b)(5)–(6). To facilitate 

compliance with 39 CFR 

3011.301(b)(5)–(6), a template Protective 

Conditions Statement and Certification 

to Comply with Protective Conditions 

appears below the signature of this 

Order as Attachment 2, for completion 

and attachment to a motion for access. 

See 39 CFR part 3011 subpart C, 

appendix A. Persons seeking access to 

non-public material are advised that 

actual notice provided to the Postal 

Service pursuant to 39 CFR 

3011.301(b)(4) will expedite resolution 

of the motion, particularly if the motion 

for access is uncontested by the Postal 

Service. 

Non-public information must be 

redacted from filings submitted through 

the Commission’s website; instead, nonpublic information must be filed under 

seal as required by 39 CFR part 3011 

subpart B. 

F. How To File Material in This 

Proceeding 

1. Using the Commission’s Filing Online 

System 

Except as provided in 39 CFR 

3010.120(a), all material filed with the 

Commission shall be submitted in 

electronic format using the Filing 

Online system, which is available over 

the internet through the Commission’s 

website. The Commission’s website 

accepts filings during the Commission’s 

regular business hours, which are from 

8:00 a.m. through 4:30 p.m. EDT, except 

for Saturdays, Sundays, and Federal 

holidays. A guide to using the Filing 

Online system, including how to create 

an account, is available at https://

www.prc.gov/how-to-participate. If you 

have questions about how to use the 

Filing Online system, please contact the 

dockets clerk by email at dockets@

prc.gov or telephone at (202) 789–6847. 

Please be advised that the dockets clerk 

can only answer procedural questions 

but may not provide legal advice or 

recommendations. 

2. Using Methods Other Than the 

Commission’s Filing Online System 

Material may be filed using a method 

other than the Commission’s website 

only if at least one of the following 

exceptions applies: 

• The material cannot reasonably be 

converted to electronic format, 

• The material contains non-public 

information (see 39 CFR part 3011), 

• The filer is unable to effectively use 

the Commission’s Filing Online system 

and the document is 10 pages or fewer, 

or 

• The Secretary has approved an 

exception to the requirements to use the 

Commission’s Filing Online system 

based on a showing of good cause. 39 

CFR 3010.120(a). 

Material subject to these exceptions 

may be filed by mail to the Office of 

Secretary and Administration, Postal 

Regulatory Commission, 901 New York 

Avenue NW, Suite 200, Washington, DC 

20268–0001. Due to the agency’s virtual 

status, posting mailed materials to the 

Commission’s website may be delayed. 

Accordingly, before mailing materials, it 

is strongly recommended that 

individuals contact the dockets clerk by 

email at dockets@prc.gov or telephone 

at (202) 789–6847. 

G. Technical Conference 

1. Date and Purpose 

A technical conference will be held 

live via WebEx on June 28, 2021, at 

11:00 a.m. EDT.7 The technical 

conference is an informal, off-the-record 

opportunity to clarify technical issues as 

well as to identify and request 

information relevant to evaluating the 

Postal Service’s proposed changes. See 

39 CFR 3020.115(c). The technical 

conference will be limited to 

information publicly available in the 

Request. Any non-public information, 

including information in non-public 

Library References attached to the 

Request, should not be raised at the 

technical conference. At the technical 

conference, the Postal Service will make 

available for questioning its three 

witnesses whose direct testimony was 

filed along with the Request and a 

fourth individual to serve as its 

institutional witness, who will provide 

information relevant to the Postal 

Service’s proposal that is not provided 

by other Postal Service witnesses. See 

Request at 2; see also 39 CFR 

3020.113(b)(6)–(7), 3020.115(b). The 


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33792 Federal Register / Vol. 86, No. 120 / Friday, June 25, 2021 / Notices 

8Please refer to the Commission’s privacy policy 

which is available at https://www.prc.gov/privacy. 

9Neither the Public Representative nor the Postal 

Service must file a notice of intervention; both are 

automatically deemed parties to this proceeding. 

See 39 CFR 3010.142(a). 

10See 39 CFR 3020.116–3020.119. 

11See 39 CFR 3020.117(a); Order No. 2080 at 42; 

see also Docket No. N2021–2, Order Affirming 

Presiding Officer’s Ruling No. N2021–1/9, May 26, 

2021, at 9 (Order No. 5901). 

12See 39 CFR 3020.117(b)(4), 3020.118(b)(1), 

3020.119(b)(1). Filing an opposition to a notice of 

intervention shall not delay this deadline. See 39 

CFR 3010.142(d)(3). 

names and topics to which these four 

individuals are prepared to address are 

summarized above in Section III.C., 

Table 1, infra. 

2. How To Livestream the Technical 

Conference 

The technical conference will be 

broadcast to the public via livestream, 

which will allow the public to view and 

listen to the technical conference, as it 

is occurring and after. To view and 

listen to the livestream, on or after 11:00 

a.m. EDT on June 28, 2021, an 

individual must click on the internet 

link that will be identified on the 

Commission’s YouTube Channel, which 

is available at https://

www.youtube.com/channel/UCbHvKS8CJFT5yNQe4MkTiQ. Individuals do 

not have to register in advance to access 

the livestream. Please note that the 

livestream is a broadcast; therefore, 

there is a brief delay (several seconds) 

between the technical conference being 

captured on camera and being displayed 

to viewers of the livestream. 

Additionally, please note that clicking 

on the livestream link will not allow an 

individual the opportunity to question 

the Postal Service’s four witnesses. 

Details on how to participate in the live 

WebEx (and have the opportunity to 

question the Postal Service’s four 

witnesses) follow. 

3. How To Participate in the Technical 

Conference 

To participate in this live technical 

conference and have the opportunity to 

ask questions of the Postal Service’s four 

witnesses, an individual need not 

formally intervene in this docket, but 

must register in advance as follows. 

Each individual seeking to participate in 

the live WebEx using an individual 

device (e.g., a desktop computer, laptop, 

tablet, or smart phone) must register by 

sending an email to N2021- 

2registration@prc.gov, with the subject 

line ‘‘Registration’’ by June 23, 2021. In 

order to facilitate orderly public 

participation, this email shall provide 

the following information: 

• Your first and last name; 

• your email address (to receive the 

WebEx link); 

• the name(s) of the Postal Service 

witness(es) you would like to question 

and/or the topic(s) of your question(s); 

and 

• your affiliation (if you are 

participating in your capacity as an 

employee, officer, or member of an 

entity such as a corporation, association, 

or government agency). 

The N2021-2registration@prc.gov 

email address is established solely for 

the exchange of information relating to 

the logistics of registering for and 

participating in the technical 

conference.8 No information related to 

the substance of the Postal Service’s 

Request shall be communicated, nor 

shall any information provided by 

participants apart from the list 

identified above be reviewed or 

considered. Only documents filed with 

the Commission’s docket system will be 

considered by the Commission. Before 

the technical conference, the 

Commission will email each identified 

individual a WebEx link, an explanation 

of how to connect to the technical 

conference, and information regarding 

the schedule and procedures to be 

followed. 

4. Availability of Materials and 

Recording 

To facilitate discussion of the matters 

to be explored at the technical 

conference, the Postal Service shall, if 

necessary, file with the Commission any 

materials not already filed in Docket No. 

N2021–2 (such as PowerPoint 

presentations or Excel spreadsheets) 

that the Postal Service expects to 

present at the technical conference by 

June 25, 2021. Doing so will foster an 

orderly discussion of the matters under 

consideration and facilitate the ability of 

individuals to access these materials 

should technical issues arise for any 

participants during the live WebEx. If 

feasible, the recording will be available 

on the Commission’s YouTube Channel 

at https://www.youtube.com/channel/ 

UCbHvK-S8CJFT5yNQe4MkTiQ. 

Participants in the WebEx, by 

participating, consent to such recording 

and posting. Information obtained 

during the technical conference or as a 

result of the technical conference is not 

part of the decisional record, unless 

admitted under the standards of 39 CFR 

3010.322. See 39 CFR 3020.115(e). 

H. How To Intervene (Become a Party to 

This Proceeding) 

To become a party to this proceeding, 

a person or entity must file a notice of 

intervention by July 1, 2021.9 This filing 

must clearly and concisely state: The 

nature and extent of the intervenor’s 

interest in the issues (including the 

postal services used), the intervenor’s 

position on the proposed changes in 

services (to the extent known), whether 

or not the intervenor requests a hearing, 

and whether or not the intervenor 

intends to actively participate in the 

hearing. See 39 CFR 3010.142(b). Page 

one of this filing shall contain the name 

and full mailing address of no more 

than two persons who are to receive 

service, when necessary, of any 

documents relating to this proceeding. 

See id. A party may participate in 

discovery; file testimony and evidence; 

conduct written examination of 

witnesses; conduct limited oral crossexamination; file briefs, motions, and 

objections; and present argument before 

the Commission or the presiding officer. 

See id. sections 3010.142(a); 

3020.122(e). An opposition to a notice 

of intervention is due within 3 days 

after the notice of intervention is filed. 

See id. section 3010.142(d)(2). 

I. Discovery 

1. Generally Applicable Discovery 

Procedures 

Discovery requests may be 

propounded upon filing a notice of 

intervention. Discovery that is 

reasonably calculated to lead to the 

admissible evidence is allowed. See 39 

CFR 3020.116(a). Each party must 

familiarize themselves with the 

Commission’s rules appearing in 39 CFR 

part 3020, including the rules for 

discovery in N-dockets generally and 

specific to interrogatories, requests for 

the production of documents, and 

requests for admissions.10 No party may 

propound more than a total of 25 

interrogatories (including both initial 

and follow-up interrogatories) without 

prior approval by the Commission or 

presiding officer.11

Each answer to a discovery request is 

due within 7 days after the discovery 

request is filed.12 Any motion seeking to 

be excused from answering any 

discovery request is due within 3 days 

after the discovery request is filed. See 

39 CFR 3020.105(b)(1). Any response to 

such motion is due within 2 days after 

the motion is filed. See id. section 

3020.105(b)(2). The Commission expects 

parties to make judicious use of 

discovery, objections, and motions 

practice, and encourages parties to make 

every effort to confer to resolve disputes 

informally before bringing disputes to 

the Commission to resolve. 


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13The pro forma schedule set forth in appendix 

A of 39 CFR part 3020 lists this deadline as day 37, 

which would be Saturday July 24, 2021. Consistent 

with Docket No. N2021–1, this deadline is adjusted 

to day 33, Tuesday July 20, 2021, so as to provide 

additional time necessary for the coordination of 

the technical aspects of the virtual hearing. See 

Docket No. N2021–1, Presiding Officer’s Ruling 

Adjusting Procedural Schedule and Modifying PreHearing Filings, May 13, 2021, at 2 (Docket No. 

N2021–1 POR No. 7). 

14The pro forma schedule set forth in appendix 

A of 39 CFR part 3020 lists this deadline as day 44, 

which would be Saturday July 31, 2021. However, 

this deadline is adjusted to Friday July 30, 2021, so 

as to provide additional time necessary for the 

coordination of the technical aspects of the virtual 

hearing. 

15The pro forma schedule set forth in appendix 

A of 39 CFR part 3020 lists this deadline as day 46, 

which would be Monday August 2, 2021. However, 

this deadline is adjusted to Tuesday August 3, 2021, 

so as to allow 2 business days to respond to the 

filing of a motion for leave to file a surrebuttal case. 

16Consistent with the necessary adjustments 

made in Docket No. N2021–1 to conduct a virtual 

hearing, the Commission adjusts the timeframe 

contemplated by 39 CFR 3020.122(e)(3) and instead 

sets this deadline as 7 days before the beginning of 

the virtual hearing (assuming that no rebuttal case 

is filed). 

2. Discovery Deadlines for the Postal 

Service’s Direct Case 

All discovery requests regarding the 

Postal Service’s direct case must be filed 

by July 15, 2021. All discovery answers 

by the Postal Service must be filed by 

July 22, 2021. The parties are urged to 

initiate discovery promptly, rather than 

to defer filing requests and answers to 

the end of the period established by the 

Commission. 

J. Rebuttal Case Deadlines 

A rebuttal case is any evidence and 

testimony offered to disprove or 

contradict the evidence and testimony 

submitted by the Postal Service. A 

rebuttal case does not include crossexamination of the Postal Service’s 

witnesses or argument submitted via a 

brief or statement of position. Any party 

that intends to file a rebuttal case must 

file a notice confirming its intent to do 

so by July 20, 2021.13 Any rebuttal case, 

consisting of any testimony and all 

materials in support of the case, must be 

filed by July 29, 2021. 

K. Surrebuttal Case Deadlines 

A surrebuttal case is any evidence and 

testimony offered to disprove or 

contradict the evidence and testimony 

submitted by the rebutting party. A 

surrebuttal case does not include crossexamination of the rebutting party’s 

witnesses or argument submitted via a 

brief or statement of position. Any party 

that intends to file surrebuttal case must 

obtain the Commission’s prior approval 

and must bear the burden of 

demonstrating exceptional 

circumstances that would warrant 

granting the motion. See 39 CFR 

3020.121(b). Any motion for leave to file 

a surrebuttal case is due July 30, 2021.14

Any response to such motion is due 

August 3, 2021.15 Any surrebuttal case, 

consisting of any testimony and all 

materials in support of the case, must be 

filed by August 5, 2021. 

L. Hearing Dates 

The Commission expects that this 

case will require no more than one or 

two business days for hearing, but 

reserves three business days out of an 

abundance of caution and consistent 

with the pro forma schedule set forth in 

appendix A of 39 CFR part 3020. If no 

party files a notice of intent to file a 

rebuttal case by July 20, 2021, then the 

hearing of the Postal Service’s direct 

case shall begin July 29, 2021, with 

additional days reserved on July 30, 

2021 and August 2, 2021. If any party 

files a notice of intent to file a rebuttal 

case by July 20, 2021 but no surrebuttal 

testimony will be presented, then the 

hearing of the Postal Service’s direct 

case shall begin August 5, 2021, with 

additional days reserved on August 6, 

2021, and August 9, 2021. If any party 

files a notice of intent to file a rebuttal 

case by July 20, 2021, and the 

Commission approves the presentation 

of surrebuttal testimony, then the 

hearing of the Postal Service’s direct 

case shall begin August 10, 2021, and 

the hearing of the surrebuttal case shall 

end August 12, 2021. 

M. Presentation of Evidence and 

Testimony 

Evidence and testimony shall be in 

writing and may be accompanied by a 

trial brief or legal memoranda. Id. 

section 3020.122(e)(1). Whenever 

possible and particularly for factual or 

statistical evidence, written crossexamination will be used in lieu of oral 

cross-examination. Id. section 

3020.122(e)(2). 

Oral cross-examination will be 

allowed to clarify written crossexamination and/or to test assumptions, 

conclusions, or other opinion evidence. 

Id. section 3020.122(e)(3). Assuming 

that no rebuttal case is filed, any party 

that intends to conduct oral crossexamination shall file a notice of intent 

to do so by July 22, 2021.16 The notice 

must include an estimate of the amount 

of time requested for each witness. 

In lieu of submitting hard copy 

documents to the Commission as 

contemplated by 39 CFR 3020.122(e)(2), 

each party shall file a single document 

titled ‘‘Notice of Designations’’ 

containing a list for each witness that 

identifies the materials to be designated 

(without the responses). The filing party 

shall arrange its list for each witness in 

alphabetical order by the name of the 

party propounding the interrogatory 

followed by numerical order of the 

interrogatory. For example: 

Designations for Witness One 

ABC/USPS–T1–1 

ABC/USPS–T1–3 

DEF/USPS–T1–1 

GHI/USPS–T1–3 

JKL/USPS–T1–2 

Designations for Witness Two 

DEF/USPS–T2–4 

GHI/USPS–T2–2 

Assuming that no rebuttal case is 

filed, each party shall file its Notice of 

Designations by July 23, 2021. 

Assuming that no rebuttal case is 

filed, on July 27, 2021, the Postal 

Service shall file a ‘‘Notice of 

Designated Materials’’ identifying any 

corrections to the testimony or 

designated materials for each witness 

sponsored by the Postal Service. 

Attached to that notice shall be a single 

Adobe PDF file that contains, in order: 

The witness’s testimony (with any 

corrections highlighted); identification 

of any library references sponsored by 

the witness; and the witness’s 

designated written responses in 

alphabetical order by the name of the 

party propounding the interrogatory 

followed by numerical order of the 

interrogatory (with any corrections to 

the responses highlighted). 

N. Presentation of Argument 

1. General Procedures 

Any person that has intervened in 

Docket No. N2021–2 (and thereby 

formally became a party to this 

proceeding) may submit written 

argument by filing a brief or a statement 

of position; they also may request to 

present oral argument at the hearing. 

See 39 CFR 3020.123, see also 39 CFR 

3010.142(a). Any person that has not 

intervened in Docket No. N2021–2 may 

submit written argument by filing a 

statement of position. See 39 CFR 

3020.123(g), see also 39 CFR 

3010.142(a). 

2. Presentation of Written Argument 

A brief is a written document that 

addresses relevant legal and evidentiary 

issues for the Commission to consider 

and must adhere to the requirements of 

39 CFR 3020.123(a)–(f). A statement of 

position is a less formal version of a 

brief that describes the filer’s position 

on the Request and the information on 

the existing record in support of that 

position. See 39 CFR 3020.123(g). 


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a. Briefing Deadlines 

Assuming that no rebuttal case is 

filed, initial briefs are due August 9, 

2021, and reply briefs are due August 

16, 2021. If any party files a notice 

confirming its intent to file a rebuttal 

case by July 20, 2021, then the briefing 

schedule may be revised. 

b. Deadline for Statement of Position 

Any interested person, including 

anyone that has not filed a notice of 

intervention and become a party to this 

proceeding, may file a statement of 

position. See 39 CFR 3020.123(g), see 

also 39 CFR 3010.142(a). A statement of 

position is limited to the existing record 

and may not include any new 

evidentiary material. See 39 CFR 

3020.123(g). Filings styled as a brief or 

comments, conforming with the content 

and timing requirements, shall be 

deemed statements of positions. Any 

statement of position is due August 9, 

2021. 

3. Request To Present Oral Argument 

Oral argument has not historically 

been part of N-cases; the Commission 

would only grant a request to present 

oral argument upon an appropriate 

showing of need by the presenting 

party. See Order No. 2080 at 53. 

Assuming that no rebuttal case is filed, 

any party may file a request to present 

oral argument by July 22, 2021. 

O. The Commission’s Advisory Opinion 

Unless there is a determination of 

good cause for extension, the 

Commission shall issue its advisory 

opinion within 90 days of the filing of 

the Request. See 39 CFR 3020.102(a). 

Therefore, absent a determination of 

good cause for extension, the 

Commission shall issue its advisory 

opinion in this proceeding by 

September 15, 2021. ‘‘The opinion shall 

be in writing and shall include a 

certification by each Commissioner 

agreeing with the opinion that in his [or 

her] judgment the opinion conforms to 

the policies established under [title 39, 

United States Code].’’ 39 U.S.C. 3661(c). 

The advisory opinion shall address the 

specific changes proposed by the Postal 

Service in the nature of postal services. 

See 39 CFR 3020.102(b). 

P. Public Representative 

Pursuant to 39 U.S.C. 3661(c), Mallory 

L. Smith shall continue to serve as an 

officer of the Commission (Public 

Representative) to represent the 

interests of the general public in this 

proceeding. See Order No. 5900 at 3, 4. 

V. Ordering Paragraphs 

It is ordered: 

1. The procedural schedule for this 

proceeding is set forth below the 

signature of this Order. 

2. Pursuant to 39 CFR 3010.106 and 

3020.122(b), the Commission appoints 

Commissioner Ann C. Fisher to serve as 

presiding officer in Docket No. N2021– 

2, effective immediately. 

3. Commissioner Fisher is authorized 

to propound formal discovery requests 

upon any party, at her discretion. The 

numerical limitation on interrogatories 

appearing in 39 CFR 3020.117(a) shall 

not apply to the Presiding Officer. 

4. Commissioner Fisher is authorized 

to rule on procedural issues such as 

motions for late acceptance and 

discovery-related matters such as 

motions to be excused from answering 

discovery requests. 

5. Commissioner Fisher is authorized 

to make other rulings in this Docket not 

otherwise specifically reserved to the 

Commission according to 39 CFR 3020 

and 3010.106. 

6. Pursuant to 39 U.S.C. 3661(c), 

Mallory L. Smith shall continue to serve 

as an officer of the Commission (Public 

Representative) to represent the 

interests of the general public in this 

proceeding. 

7. The Secretary shall arrange for 

publication of this order in the Federal 

Register. 

By the Commission. 

Mallory Smith, 

Federal Register Liaison. 

PROCEDURAL SCHEDULE FOR DOCKET NO. N2021–2 

[Established by the Commission, June 21, 2021] 

Technical Conference Dates 

Deadline to Email N2021-2registration@prc.gov to Register to Participate in the Live Technical Conference via WebEx.June 23, 2021. 

Filing of the Postal Service’s Materials for the Technical Conference ........................................................ June 25, 2021. 

Technical Conference (live via WebEx) ....................................................................................................... June 28, 2021, at 11:00 a.m. Eastern 

Daylight Time. 

Intervention Deadline 

Filing of Notice of Intervention ...................................................................................................................... July 1, 2021. 

Discovery Deadlines for the Postal Service’s Direct Case 

Filing of Discovery Requests ........................................................................................................................ July 15, 2021. 

Filing of the Postal Service’s Answers to Discovery .................................................................................... July 22, 2021. 

Deadlines in Preparation for Hearing (assuming no rebuttal case) 

Filing of Notice Confirming Intent to Oral Conduct Cross-Examination ....................................................... July 22, 2021. 

Filing of Request to Present Oral Argument ................................................................................................ July 22, 2021. 

Filing of Notice of Designations .................................................................................................................... July 23, 2021. 

Filing of Notices of Designated Materials ..................................................................................................... July 27, 2021. 

Rebuttal Case Deadlines (if applicable) 

Filing of Notice Confirming Intent to File a Rebuttal Case ........................................................................... July 20, 2021. 

Filing of Rebuttal Case ................................................................................................................................. July 29, 2021. 

Surrebuttal Case Deadlines (if applicable) 

Filing of Motion for Leave to File Surrebuttal Case ..................................................................................... July 30, 2021. 


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Federal Register / Vol. 86, No. 120 / Friday, June 25, 2021 / Notices 33795 

PROCEDURAL SCHEDULE FOR DOCKET NO. N2021–2—Continued 

[Established by the Commission, June 21, 2021] 

Filing of Response to Motion for Leave to File Surrebuttal Case ................................................................ August 3, 2021. 

Filing of Surrebuttal Case (if authorized) ...................................................................................................... August 5, 2021. 

Hearing Dates 

Hearings (with no Rebuttal Case) ................................................................................................................ July 29 to 30 and August 2, 2021. 

Hearings (with Rebuttal Case, but no authorized Surrebuttal Case) ........................................................... August 5, 6 and 9, 2021. 

Hearings (with Rebuttal Case and authorized Surrebuttal Case) ................................................................ August 10 to 12, 2021. 

Briefing Deadlines 

Filing of Initial Briefs (with no Rebuttal Case) .............................................................................................. August 9, 2021. 

Filing of Reply Briefs (with no Rebuttal Case) ............................................................................................. August 16, 2021. 

Statement of Position Deadline 

Filing of Statement of Position (with no Rebuttal Case) .............................................................................. August 9, 2021. 

Advisory Opinion Deadline 

Filing of Advisory Opinion (absent determination of good cause for extension) ......................................... September 15, 2021. 

BILLING CODE 7710–FW–P 


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Docket N2021-2 Template to Attach to Motion for Access to Non-public Material 

Protective Conditions Statement 

The Postal Service requests confidential treatment of non-public materials 

identified as ____ (non-confidential description of non-public materials) (hereinafter "these 

materials") in Commission Docket No. N2021-2. ____ (name of participant filing motion) 

(hereinafter "the movant") requests access to these materials related to Commission 

Docket No. N2021-2 (hereinafter "this matter''). 

The movant has provided to each person seeking access to these materials: 

o This Protective Conditions Statement; 

o The Certification to Comply with Protective Conditions; 

o The Certification of Compliance with Protective Conditions and Termination of 

Access; and 

o The Commission's rules applicable to access to non-public materials filed in 

Commission proceedings (subpart C of part 3011 of the U.S. Code of Federal 

Regulations). 

Each person (and any individual working on behalf of that person) seeking 

access to these materials has executed a Certification to Comply with Protective 

Conditions by signing in ink or by typing Isl before his or her name in the signature 

block. The movant attaches the Protective Conditions Statement and the executed 

Certification(s) to Comply with Protective Conditions to the motion for access filed with 

the Commission. 

The movant and each person seeking access to these materials agree to comply 

with the following protective conditions: 

1. In accordance with 39 CFR 3011.303, the Commission may impose sanctions on 

any person who violates these protective conditions, the persons or entities on whose 

behalf the person was acting, or both. 

2. In accordance with 39 CFR 3011.300(b), no person involved in competitive 

decision-making for any individual or entity that might gain competitive advantage from 

using these materials shall be granted access to these materials. Involved in 

competitive decision-making includes consulting on marketing or advertising strategies, 

pricing, product research and development, product design, or the competitive 

structuring and composition of bids, offers or proposals. It does not include rendering 

legal advice or performing other services that are not directly in furtherance of activities 
Federal Register / Vol. 86, No. 120 / Friday, June 25, 2021 / Notices 33797 


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in competition with an individual or entity having a proprietary interest in the protected 

material. 

3. In accordance with 39 CFR 3011.302(a), a person granted access to these 

materials may not disseminate these materials in whole or in part to any person not 

allowed access pursuant to 39 CFR 3011.300(a) (Commission and court personnel) or 

3011.301 (other persons granted access by Commission order) except in compliance 

with: 

a. Specific Commission order, 

b. Subpart B of 39 CFR 3011 (procedure for filing these materials in 

Commission proceedings), or 

c. 39 CFR 3011.305 (production of these materials in a court or other 

administrative proceeding). 

4. In accordance with 39 CFR 3011.302(b) and (c}, all persons granted access to 

these materials: 

a. Must use these materials only related to this matter; and 

b. Must protect these materials from any person not authorized to obtain 

access under 39 CFR 3011.300 or 3011.301 by using the same degree of care, 

but no less than a reasonable degree of care, to prevent the unauthorized 

disclosure of these materials as those persons, in the ordinary course of 

business, would be expected to use to protect their own proprietary material or 

trade secrets and other internal, confidential, commercially sensitive, and 

privileged information. 

5. The duties of each person granted access to these materials apply to all: 

a. Disclosures or duplications of these materials in writing, orally, 

electronically, or otherwise, by any means, format, or medium; 

b. Excerpts from, parts of, or the entirety of these materials; 

c. Written materials that quote or contain these materials; and 

d. Revised, amended, or supplemental versions of these materials. 

6. All copies of these materials will be clearly marked as "Confidential" and bear the 

name of the person granted access. 

7. Immediately after access has terminated pursuant to 39 CFR 3011.304(a)(1 ), 

each person (and any individual working on behalf of that person) who has obtained a 

copy of these materials must execute the Certification of Compliance with Protective 

Conditions and Termination of Access. In compliance with 39 CFR 3011.304(a)(2}, the 
33798 Federal Register / Vol. 86, No. 120 / Friday, June 25, 2021 / Notices 


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movant will attach the executed Certification(s) of Compliance with Protective 

Conditions and Termination of Access to the notice of termination of access filed with 

the Commission. 

8. Each person granted access to these materials consents to these or such other 

conditions as the Commission may approve. 

(signature of representative) 

(print name of representative) 

(address line 1 of representative) 

(address line 2 of representative) 

(telephone number of representative) 

(e-mail address of representative) 

(choose the appropriate response) 

(name of the movant) 

Respectfully submitted, 

Isl 

Attorney I Non-Attorney Representative 

for 

You may delete the instructional text to complete this form. This form may be filed as an attachment to 

the motion for access to non-public materials under 39 CFR 3011.301 (b)(S). 

Certification To Comply With Protective Conditions 

The Postal Service requests confidential treatment of non-public materials identified as 

____ (non-confidential description of non-public materials) (hereinafter "these materials") 

filed in Commission Docket No. N2021-2. 

____ (name of participant filing motion) requests that the Commission grant me access 

to these materials to use related to Docket No. N2021-2 (hereinafter "this matter''). 

I certify that: 

o I have read and understand the Protective Conditions Statement and 

this Certification to Comply with Protective Conditions; 

o I am eligible to receive access to these materials because I am not 

involved in competitive decision-making for any individual or entity that 

might gain competitive advantage from using these materials; and 

o I will comply with all protective conditions established by the 

Commission. 
Federal Register / Vol. 86, No. 120 / Friday, June 25, 2021 / Notices 33799 

[FR Doc. 2021–13515 Filed 6–24–21; 8:45 am] 

BILLING CODE 7710–FW–C 

SECURITIES AND EXCHANGE 

COMMISSION 

[SEC File No. 270–451, OMB Control No. 

3235–0509] 

Proposed Collection; Comment 

Request 

Upon Written Request, Copies Available 

From: Securities and Exchange 

Commission, Office of FOIA Services, 

100 F Street NE, Washington, DC 

20549–2736 

Extension: 

Rule 301 of Regulation ATS 

Notice is hereby given that pursuant 

to the Paperwork Reduction Act of 1995 

(‘‘PRA’’) (44 U.S.C. 3501 et seq.), the 

Securities and Exchange Commission 

(‘‘Commission’’) is soliciting comments 

on the existing collection of information 

provided for in Rule 301 of Regulation 

ATS (17 CFR 242.301) under the 

Securities Exchange Act of 1934 (15 

U.S.C. 78a et seq.) (‘‘Exchange Act’’). 

The Commission plans to submit this 

existing collection of information to the 

Office of Management and Budget 

(‘‘OMB’’) for extension and approval. 

Regulation ATS provides a regulatory 

structure for alternative trading systems. 

Rule 301 of Regulation ATS contains 

certain record keeping and reporting 

requirements, as well as additional 

obligations that apply only to alternative 

trading systems with significant volume. 

The Rule requires all alternative trading 

systems that wish to comply with 

Regulation ATS to file an initial 

operations report on Form ATS. 

Alternative trading systems are also 

required to supply updates on Form 

ATS to the Commission describing 

material changes to the system, file 

quarterly transaction reports on Form 

ATS–R, and file cessation of operations 

reports on Form ATS. An alternative 

trading system with significant volume 

is required to comply with requirements 

for fair access and systems capacity, 

integrity, and security. Rule 301 also 

imposes certain requirements pertaining 

to written safeguards and procedures to 

protect subscribers’ confidential trading 

information. 

The Commission staff estimates that 

entities subject to the requirements of 

Rule 301 will spend a total of 

approximately 2,687 hours a year to 

comply with the Rule. 

Written comments are invited on: (a) 

Whether the proposed collection of 

information is necessary for the proper 

performance of the functions of the 

Commission, including whether the 

information shall have practical utility; 

(b) the accuracy of the Commission’s 

estimates of the burden of the proposed 

collection of information; (c) ways to 

enhance the quality, utility, and clarity 

of the information collected; and (d) 

ways to minimize the burden of the 

collection of information on 

respondents, including through the use 

of automated collection techniques or 

other forms of information technology. 

Consideration will be given to 

comments and suggestions submitted in 

writing within 60 days of this 

publication. 

An agency may not conduct or 

sponsor, and a person is not required to 

respond to, a collection of information 

under the PRA unless it displays a 

currently valid OMB control number. 

Please direct your written comments 

to: David Bottom, Director/Chief 

Information Officer, Securities and 

Exchange Commission, c/o Cynthia 

Roscoe, 100 F Street NE, Washington, 

DC 20549, or send an email to: PRA_

Mailbox@sec.gov. 

Dated: June 21, 2021. 

J. Matthew DeLesDernier, 

Assistant Secretary. 

[FR Doc. 2021–13508 Filed 6–24–21; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[SEC File No. 270–346, OMB Control No. 

3235–0392] 

Proposed Collection; Comment 

Request 

Upon Written Request, Copies Available 

From: Securities and Exchange 

Commission, Office of FOIA Services, 

100 F Street NE, Washington, DC 

20549–2736 

Extension: 

Rule 15g–3 

Notice is hereby given that pursuant 

to the Paperwork Reduction Act of 1995 

(‘‘PRA’’) (44 U.S.C. 3501 et seq.), the 

Securities and Exchange Commission 

(‘‘Commission’’) is soliciting comments 

on the existing collection of information 

provided for in Rule 15g–3—Broker or 

dealer disclosure of quotations and 

other information relating to the penny 

stock market (17 CFR 240.15g–3) under 

the Securities Exchange Act of 1934 (15 

U.S.C. 78a et seq.). The Commission 

plans to submit this existing collection 

of information to the Office of 

Management and Budget (‘‘OMB’’) for 

extension and approval. 

Rule 15g–3 requires that brokers and 

dealers disclose to customers current 

quotation prices or similar market 

information in connection with 

transactions in penny stocks. The 


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(signature of individual receiving access) 

(print name of individual receiving access) 

(title of individual receiving access) 

(employer of individual receiving access) 

(name of the participant filing the motion) 

(date) 

Isl 

You may delete the instructional text to complete this form. This form may be filed as an attachment to 

the motion for access to non-public materials under 39 CFR 3011.301 (b)(6).