39 C.F.R. Subpart G—Rules Applicable to the Filing of Periodic Reports by the U.S. Postal Service
Title 39 - Postal Service
The rules in this subpart identify reports1 1 It is realized that some items, characterized as “reports,” are not reports in the true sense of the word since they are not published and heretofore have only been intended for internal use. [41 FR 47438, Oct. 29, 1976, as amended at 51 FR 24531, July 7, 1986; 58 FR 38977, July 21, 1993] Each report listed in this section shall be filed with the Secretary of the Commission within two weeks of its presentation for use by postal management, unless otherwise noted. Each report should be provided in a form that can be read by publicly available PC software. A processing program that was developed specifically to produce an accompanying workpaper must be provided in a form that can be executed by publicly available PC software. COBOL processing programs in use prior to FY 2003 are exempt from this requirement. The reports and information required to be provided by this subpart need not include matters that are exempt from disclosure by law. Whenever a specific source is cited in this section, that citation includes any successor or substituted source. (a) Annual reports. The following information will be filed by the Postal Service annually. If it is presented for use by postal management at more frequent intervals, it shall be filed at those intervals: (1) All input data and all processing programs that have changed since the most recently completed general rate proceeding, if they are used to produce the Cost and Revenue Analysis Report (CRA). Each change in attribution principles or methods from the previous report will be identified. The Postal Service shall submit a CRA-USPS Version, followed within two weeks by a CRA-PRC Version. Documentation of both versions of the CRA shall include, but not be limited to, the following: (i) Spreadsheet workpapers underlying the development of segment costs by cost component. These workpapers should include the updated factors, and data from the supporting data systems used, including the In-Office Cost System (IOCS), Management Operating Data System (MODS), City Carrier Cost System (CCCS), Rural Carrier Cost System (RCCS), and National Mail Count. (ii) Documentation of any special study that has a substantial effect on estimated costs in any cost segment and was not documented in the most recently completed general rate proceeding. (A) Documentation shall consist of all input data and all processing programs used to obtain the results of the special study. (B) The Postal Service may elect to provide a written or oral presentation describing the data and the estimating techniques used, as well as the results of the special study, and to apply for a waiver of the requirement in paragraph (a) of this section. (2) Cost Segments and Components Report. Documentation shall include, but not be limited to, the following: (i) Cost segments and components reconciliation to financial statements and account reallocations. (ii) The Manual Input Requirement, the “A” report, and the “B” report; (iii) The control string commands for the “A” report, the “B” report (including the PESSA factor calculations), and the “C” report; (iv) The master list of cost segment components, including the components used as distribution keys in the development of the “B” report and the “C” report. (3) City delivery information, including the number of routes by type, the number of possible deliveries by type, the number of collection boxes, and the number of businesses served (120 days from the close of the fiscal year). (4) Rural carrier information, including the number of routes by type and miles, stops, boxes served, and mail pieces by route type (120 days from the close of the fiscal year). (5) Civil Service Retirement Fund Deficit Report (two weeks after release of the Annual Report of the Postmaster General). (6) Worker's Compensation Report, including summary workpapers (two weeks after release of the Annual Report of the Postmaster General). (7) Annual Report of the Postmaster General. (8) Congressional Budget Submission, including workpapers. The Postal Service will also file concurrently Summary Tables SE 1, 2, and 6 (coinciding with their submission to Congress). (9) Audit Adjustment Vouchers, if any. (10) Billing Determinants, at the level of detail employed in the most recent formal request for a change in rates or fees. The provision of billing determinants for Express Mail, Priority Mail, and parcel post may be delayed up to 12 months from the close of the fiscal year to which they apply. (11) USPS Integrated Financial Plan. (12) Input data and calculations used to produce annual Total Factor Productivity estimates. (b) Quarterly reports. The following information will be filed by the Postal Service quarterly: (1) Revenue, Pieces, and Weight, by rate category and special service. (2) Origin/Destination Information Report National Service Index. (c) Accounting period reports. The following information will be filed by the Postal Service each accounting period: (1) Summary Financial and Operating Report. (2) National Consolidated Trial Balances and the Revenue and Expense Summary. (3) National Payroll Hours Summary. (4) On-Roll and Paid Employee Statistics (OPRES). (5) Postal Service Active Employee Statistical Summary (HAT report). (d) Miscellaneous reports. The following information will be filed by the Postal Service: (1) Before/After Pay Increase Reports. (2) Before/After COLA Cost Reports. (3) A master list of publications and handbooks including those related to internal information procedures, when changed. (4) Data collection forms and corresponding training handbooks, when changed. (5) Notice of changes in data reporting systems, 90 days before those changes are implemented. [68 FR 65373, Nov. 19, 2003] Each report listed in this section shall be filed with the Secretary of the Commission on or before March 15th of each year unless a later date is specified, and shall cover the most recent full fiscal year. Information contained in these reports that is considered to be commercially sensitive should be identified as such, and will not be publicly disclosed except as required by applicable law. Specific sources cited in this section should be understood to include any successor or substituted source. (a) The International Cost and Revenue Analysis—PRC Version. (b) The International Cost and Revenue Analysis—USPS Version, by May 15. (c) The Cost and Revenue Analysis Report—PRC Version. If an unaudited version is provided on March 15, provide an audited version no later than May 15. The audited version shall include a statement describing all adjustments that affect international mail. (d) The Cost Segments and Components Report—PRC Version. If an unaudited version is provided on March 15, provide an audited version no later than May 15. The audited version shall include a statement describing all adjustments that affect international mail. (e) Documentation and workpapers for the ICRA, including those related to: (1) Terminal dues. (2) Air conveyance dues. (3) Transit charges. (4) Imbalance charges. (5) Inward land charges. (6) Description of cost allocation procedures. (7) Identification of costs that are exclusive to international mail. (8) The cost of joint ventures with other postal administrations. (9) International billing determinants. (10) The data for Direct Entry separated between inbound and outbound as in the Postal Service's response to Item 1 of order no. 1246. (11) The attributable costs for ValuePost/Canada developed in accordance with the procedure described in the Postal Service's response to Item 2 of order no. 1251, or any alternative procedure deemed appropriate as a basis for setting the rates for ValuePost/Canada. Costs for ValuePost/Canada should be separated between publications and all other printed matter. (12) Revenues and volumes for Value Post/Canada separated between publications and all other printed matter. (f) Handbooks pertaining to the collection of volume and revenue data (MIDAS, SIRVO, SIRVI, Other) if they were revised or replaced since they were last submitted. (g) International CRA manual input, A, B, C, and factor reports on a CD-ROM. (h) A hard copy of the International CRA manual input and the C report International CRA manual input, A, B, C, and factor reports on a CD-ROM. (i) Cost Segment 3 CRA Worksheets and all supporting files, including the MODS-Based Costing Studies—PRC Version. Include all databases, SAS and other programs, and output worksheets. (j) Cost Segment 7 CRA Worksheets and all supporting files. (k) The number of weighted tallies by international service separately for clerks and mailhandlers, and for city delivery carriers in-office; clerk and mailhandler tallies should be further separated for mail processing, window service, and all other. (l) Coefficients of variation for: (1) IOCS clerk and mailhandler tallies by mail processing, window service, and all other. (2) IOCS city delivery carriers in-office. (3) TRACS for purchased transportation by international, air, railroad, and other. (4) Outbound volume by international service. (5) Inbound volume by international service. (m) The percentage of household and the percentage of non-household mail for each outbound mail service. (n) The percentage of single-piece mail and bulk mail for each outbound service. [65 FR 10021, Feb. 25, 2000]
Title 39: Postal Service
PART 3001—RULES OF PRACTICE AND PROCEDURE
Subpart G—Rules Applicable to the Filing of Periodic Reports by the U.S. Postal Service
§ 3001.101 Applicability and general policy.
§ 3001.102 Filing of reports.
§ 3001.103 Filing of reports required by 39 U.S.C. 3663(b).
