8502.31 Statement of interest.

The Commission may call upon any practitioner for a full statement of the nature and extent of his interest in the subject matter presented by him before the Commission. [Rule 2(k).]

§ 502.32 Former employees.

(a) Permanent prohibition. No former member, officer, or employee of the Commission shall practice, appear, or represent anyone before the Commission in connection with any particular Commission matter involving a specific party or parties in which he participated personally and substantially as a member, officer, or employee of the Commission, through decision, approval, disapproval, recommendation, the rendering of service, investigation, or otherwise gained knowledge of the facts of the matter.

(b) Matters pending; waiver. (1) No former member, officer, or employee of the Commission shall practice, appear, or represent anyone before the Commission, within 1 year after the termination of his service with the Commission, in connection with any particular Commission matter involving a specific party or parties which was pending before the Commission at any time during the period of his service with the Commission, unless he shall first apply for and obtain written consent of the Commission. This consent will not be granted unless it appears that the applicant did not, as member, officer, or employee of the Commission participate personally and substantially in the matter through decision, aproval, disapproval, recommendation, the rendering of service, investigation, or otherwise gain knowledge of the facts of the matter.

(2) Such applicant shall be required to file an affidavit to the effect that he did not participate personally and substantially in the matter through decision, approval, disapproval, recommendation, the rendering of service, investigation, or otherwise gain knowledge of the facts of the matter; that he is not associated with, and will not in such matter be associated with, any former member, officer, or employee of the Commission who so participated; and that his employment is not prohibited by any law of the United States or by the regulations of the Commission. The statements contained in such affidavit shall not be sufficient if disproved by an examination of the files and records of the case.

(3) Applications for consent should be directed to the Commission, should state the former connection of the applicant with the Commission, and should identify the matter in which the applicant desires to appear. The applicant shall be promptly advised as to his privilege to appear in the particular matter, and the application, affidavit and consent, or refusal to consent, shall be filed by the Commission in its records relative thereto. Separate consents to appear must be obtained to appear in separate

cases.

(c) Partners or associates. In any case in which a former member, officer, or employee of the Commission is prohibited under this section from practice, appearing, or representing anyone before the Commission in a particular Commission matter, any partner or legal or business associate of such former member, officer, or employee shall be prohibited from (1) utilizing the services of the disqualified former member, officer, or employee in connection with the matter, (2) discussing the matter in any manner with the disqualified former member, officer, or employee, and (3) sharing directly or indirectly with the disqualified former member, officer, or employee in any fees or revenues received for services rendered in connection with such matter. [Rule 2(Z)]

[G.O. 16, Amdt. 6, 35 F.R. 2523, Feb. 4, 1970]

Subpart C-Parties (Rule 3)

§ 502.41 Parties; how designated.

The term "party," whenever used in the rules in this part, shall include any natural person, corporation, association, firm, partnership, trustee, receiver, agency, public or private organization, or governmental agency. A party who seeks relief or other affirmative action under § 502.62 (Rule 5(b)) and/or § 502.67 (Rule 5(g)) shall be designated as "complainant." A party against whom relief or other affirmative action is sought in any proceeding commenced under §§ 502.62 (Rule 5 (b)), 502.66 (Rule 5(f)), or 502.67 (Rule 5(g)), or a party named in an order of investigation issued by the Commission, shall be designated as "respondent.” A person who has been permitted to intervene under § 502.72 (Rule 5(1)) shall be designated as "intervener." A party who files a petition under §§ 502.51 (Rule 4(a)), 502.68 (Rule 5(h)), or 502.69 (Rule 5 (1)), or a petition

The Director, Office of Hearing Counsel shall be a party to all proceedings governed by the rules in this part, except that in complaint proceedings under § 502.62 (Rule 5(b)) he may become a party only upon leave to intervene granted pursuant to § 502.72 (Rule 5(1)). The Director or his representative shall be designated as "Hearing Counsel" and shall be served with copies of all papers, pleadings, and documents in every proceeding in which Hearing Counsel is a party. Hearing Counsel shall actively participate in any proceeding to which he is a party, to the extent required in the public interest, subject to the separation of functions required by section 5(c) of the Administrative Procedure Act. (See 502.224 (Rule 13(d).) [Rule 3 (b).]

§ 502.43 Substitution of parties.

In a proper case the Commission or presiding officer may order an appropriate substitution of parties. [Rule 3 (c).]

§ 502.44 Necessary and proper parties in certain complaint proceedings. If a complaint relates to through transportation by continuous carriage or transshipment, all carriers participating in such through transportation shall be joined as respondents. If the complaint relates to more than one carrier or other person subject to the shipping acts, all carriers or other persons against whom a rule or order is sought shall be made respondents. If complaint is made with respect to an agreement filed with the Commission under section 15 of the Shipping Act, 1916, or against a conference organized under said section, or a rate under sections 18(b)3 or 18(b)5 of said Act, the carriers who are parties to such agreement and conference or who maintain such rates as well as the conference shall be made respondents. [Rule 3(d).]

Subpart D-Rule Making (Rule 4)

§ 502.51

Petition for issuance, amendment, or repeal of rule.

Any interested party may file with the Commission a petition for the issuance, amendment, or repeal of a rule designed to implement, interpret, or prescribe law, policy, organization, procedure, or practice requirements of the Commission. The petition shall set forth the interest of petitioner and the nature of the relief desired, shall include any facts, views, arguments, and data deemed relevant by petitioner, and shall be verified. If such petition is for the amendment or repeal of a rule, it shall be accompanied by proof of service on all persons, if any, specifically named in such rule, and shall conform in other aspects to Subpart H of this part. Replies to such petition shall conform to the requirements of § 502.74 (Rule 5(n)). [Rule 4(a).]

General notice of proposed rule making, including the information specified in § 502.143 (Rule 10(c)), shall be published in the FEDERAL REGISTER, unless all persons subject thereto are named and either are personally served or otherwise have actual notice thereof in accordance with law. Except where notice of hearing is required by statute, this section shall not apply to interpretative rules, general statements of policy, organization rules, procedure, or practice of the Commission, or any situation in which the Commission for good cause finds (and incorporates such findings in such rule) that notice and public procedure thereon are impracticable, unnecessary, or contrary to the public interest. [Rule 4(b).]

§ 502.53

Participation in rule making. Interested persons will be afforded an opportunity to participate in rule making through submission of written data, views, or arguments, with or without opportunity to present the same orally in any manner: Provided, That, where the proposed rules are such as are required by statute to be made on the record after opportunity for a hearing, such hearing shall be conducted pursuant to section 7 of the Administrative Procedure Act, and the procedure shall be the same as stated in Subpart J of this part. In those proceedings in which respondents are

named, interested persons who wish to participate therein shall file a petition to intervene in accordance with the provisions of § 502.72 (Rule 5(1)). [Rule 4(c).]

§ 502.54 Contents of rules.

The Commission will incorporate in any rules adopted a concise general statement of their basis and purpose. [Rule 4(d).]

§ 502.55 Effective date of rules.

The publication or service of any substantive rule shall be made not less than thirty (30) days prior to its effective date except (a) as otherwise provided by the Commission for good cause found and published in the FEDERAL REGISTER or (b) in the case of rules granting or recognizing exemption or relieving restriction, interpretative rules, and statement of policy. [Rule 4(e).]

Subpart E-Proceedings; Pleadings; Motions; Replies (Rule 5)

§ 502.61 Proceedings.

Proceedings are commenced by the filing of a complaint, or by order of the Commission upon petition or upon its own motion, or by reference by the Commission to the formal docket of a petition for a declaratory order. In proceedings referred to the Office of Administrative Law Judges, the Commission shall specify a date on or before which hearing shall commence, which date shall be no more than six months from the date of publication in the FEDERAL REGISTER of the Commission's order instituting the proceeding or notice of complaint filled. Hearing dates may be deferred by the presiding judge only to prevent substantial delay, expense, detriment to the public interest or undue prejudice to a party. [Rule 5(a).]

[G.O. 16, 30 FR 13604, Oct. 26, 1965 as amended by Amdt. 10, 37 FR 19315, Sept 19, 1972; 39 FR 33223, Sept. 16, 1974]

§ 502.62 Complaints.

The complaint shall contain the name and address of each complainant, the name and address of complainant's attorney or agent, the name and address of each carrier or person against whom complaint is made, a concise statement of the cause of action, and a request for the relief or other affirmative action sought. Where reparation is sought and the nature of the proceeding so requires,

the complaint shall set forth the ports of origin and destination of the shipments, consignees, or real parties in interest where shipments are on "order" bill of lading, consignors, date of receipt by carrier or tender of delivery to carrier, names of vessels, bill of lading number (other identifying reference), description of commodities, weights, measurement, rates, charges made or collected, when, where, by whom and to whom rates and charges were paid, by whom the rates and charges were borne, the amount of damage, and the relief sought. Except under unusual circumstances and for good cause shown, reparation will not be awarded upon a complaint in which it is not specifically asked for, nor upon a new complaint by or for the same complainant which is based upon a finding in the original proceeding. Wherever a rate, fare, charge, rule, regulation, classification, or practice is involved, appropriate reference to the tariff should be made, if possible. If complaint fails to indicate the sections of the acts alleged to have been violated or clearly to state facts which support the allegations, the Commission may, on its own initiative, require the complaint to be amended to supply such further particulars as it deems necessary. The complaint should designate the place at which hearing is desired. A form of complaint is set forth in Appendix II (1).1 [Rule 5(b).] § 502.63

Reparation, statute of limita

tions. Complaints seeking reparation shall be filed within two (2) years after the cause of action accrues (sec. 22, Shipping Act, 1916). The Commission will consider as in substantial compliance with the statute of limitations a complaint in which complainant alleges that the matters complained of, if continued in the future, will constitute violations of the shipping acts in the particulars and to the extent indicated and prays for reparation accordingly for injuries which may be sustained as a result of such violations. Notification to the Commission that a complaint may or will be filed for the recovery of reparation will not constitute a filing within the two (2) year period. [Rule 5(c).]

shall serve it on complainant within twenty (20) days after the date of service of the complaint by the Commission or within thirty (30) days if such respondent resides in Alaska or beyond Continental United States, unless such periods have been extended under § 502. 71 (Rule 5(k)), § 502.102 (Rule 7(b)) or reduced under § 502.103 (Rule 7(c)), or unless motion is filed to withdraw or dismiss the complaint, in which latter case, answer shall be made within twenty (20) days after service of an order denying such motion. Such answer shall give notice of issues controverted in fact or law. Recitals of material and relevant facts in a complaint, amended complaint, or bill of particulars, unless specifically denied in the answer thereto, shall be deemed admitted as true, but if request is seasonably made, a competent witness shall be made available for cross-examination on such evidence. In the event that respondent should fail to file and serve the answer within the time provided, the Commission may enter such rule or order as may be just, or may in any case require such proof as to the matters alleged in the complaint as it may deem proper: Provided, That the Commission or Chief Judge may permit the filing of a delayed answer after the time for filing the answer has expired. for good cause shown. [Rule 5(d).]

§ 502.65 Replies to answers not permitted.

Replies to answers will not be permitted. New matters set forth in respondent's answer will be deemed to be controverted. [Rule 5(e).]

days prior to the proposed effective date of the change unless the Commission permits the filing of the change in less than fifteen (15) days prior to the proposed effective date thereof, pursuant to the provisions of section 2 of the Intercoastal Act. Every protest shall clearly identify the tariff in question, give specific reference to the items opposed, set forth the grounds for opposition to the change, including a reference to the section or sections of the shipping acts alleged to be violated, shall be subscribed and verified, and shall be served upon each carrier whose tariff is protested or the issuing agent. Protests sent by telegraph or radiogram shall be confirmed promptly by letter signed by the person making the protest or by someone in his behalf, and shall be subscribed and verified. Replies thereto shall conform to the requirements of § 502.74 (Rule 5(n)).

(b) When a proposed tariff change is filed with a posting date pursuant to paragraph (f) of § 531.4 of this chapter protests against said change, invoking the provisions of section 3 of the Intercoastal Shipping Act, 1933, may be filed not later than twenty-five (25) days prior to the proposed effective date thereof, and replies thereto may be filed not later than fifteen (15) days prior to the proposed effective date. The provisions of paragraph (a) of this section relating to the form, place, and manner of filing protests, and replies to protests, shall be applicable to protests and replies pursuant to this paragraph. [Rule 5(g).] [G.O. 16, Amdt. 3, 33 FR 11081, Aug. 3, 1968, as amended by Amdt. 11, 39 FR 26734, July 23, 1974]

§ 502.68 Declaratory orders.

The Commission may issue a declaratory order to terminate a controversy or to remove uncertainty. Petitions for the issuance thereof shall state clearly and concisely the controversy or uncertainty, shall name the persons and cite the statutory authority involved, shall include a complete statement of the facts and grounds prompting the petition, together with full disclosure of petitioner's interest, shall be served upon all parties named therein, and shall conform to the requirements of Subpart H of this part (Rule 8). Replies thereto shall conform to the requirements of § 502.74 (Rule 5(n)). [Rule 5(h).] IG.O. 16, Amdt. 2, 33 F.R. 9401, June 27, 1968]

570-540 O-75-2

§ 502.69 Petitions-general.

All claims for relief or other affirmative action by the Commission, except as otherwise provided herein, shall be by written petition, which shall state clearly and concisely the petitioner's grounds of interests in the subject matter, the facts relied upon and the relief sought, shall cite by appropriate reference the statutory provisions or other authority relied upon for relief, shall be served upon all parties named therein, and shall conform otherwise to the requirements of Subpart H of this part. Replies thereto shall conform to the requirements of § 502.74 (Rule 5(n)). [Rule 5 (1).] § 502.70 Amendments or supplements to pleadings.

Amendments or supplements to any pleadings will be permitted or rejected in the discretion of the Commission if the case has not been assigned to a presiding officer for hearing, otherwise in the discretion of the officer designated to conduct the hearing: Provided, That after a case is assigned for hearing no amendment shall be allowed which would broaden the issues, without opportunity to reply to such amended pleading and to prepare for the broadened issues. The presiding officer may direct a party to state his case more fully and in more detail by way of amendment. A response to an amended pleading must be filed and served in conformity with the requirements of § 502.74 (Rule 5(n)) unless the Commission or the presiding officer directs otherwise. Amendments or supplements allowed prior to hearing will be served in the same manner as the original pleading. Whenever by the rules in this part a pleading is required to be verified, the amendment or supplement shall also be verified. [Rule 5(1).]

the motion which are objected to and the reasons for the objections. If the motion is granted in whole or in part, the order granting same shall specify the date by which the particulars must be furnished. A motion may be filed directed to incomplete compliance with such order. In the event of inexcusable default in furnishing particulars, the party in default shall be precluded from making proof upon the issues with respect to which it has defaulted in furnishing particulars. The time for filing answer to the complaint shall be extended to a date twenty (20) days after the date of service of the bill of particulars or of notice of disallowance of the motion therefor. For good cause shown, motion for a bill of particulars also may be filed after answer is made and within a reasonable time prior to hearing. [Rule 5(k).]

§ 502.72 Petition for intervention.

(a) A petition for leave to intervene may be filed in any proceeding and shall be served pursuant to § 502.114 (Rule 8 (d)). Upon request, the Commission will furnish a service list. The petition will be granted if the proposed intervener shows in his petition a substantial interest in the proceeding and the grounds for intervention are pertinent to the issues already presented and do not unduly broaden them, but if filed after hearings have been closed it will not ordinarily be granted. When tendered at the hearing, sufficient copies shall be provided for distribution as motion papers to the parties represented at the hearing, together with additional copies for the use of the Commission. The petition shall set forth the grounds for the proposed intervention and the interest and position of the petitioner in the proceeding, and shall comply with the other applicable provisions of Subpart H of this part, and if affirmative relief is sought, the applicable provisions of § 502.62 (Rule 5(b)). A person granted permission to intervene becomes a party, pursuant to Subpart C of this part, and may introduce evidence or examine witnesses at any hearing which may be held in the proceeding.

(b) Absent good cause shown, any intervener desiring to utilize the procedures provided by Subpart L must commence doing so no later than 15 days after his petition for leave to intervene