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A 43


Chapter IV-Federal Maritime Commission

$ 501.3






Subpart A-General Information (Rulo 1)


602.1 Scope of rules in this part.

602.2 Mauing address; hours.


602.3 Compliance with rules or orders of


602.4 Authentication of rules or orders of

the Commission,

602.7 Documents in foreign languages.

602.8 Denial of applications and notice


602.9 Suspension, amendment, etc., of

rules in this part.

802.10 Waiver of rules in this part.

Subpart Appearances and Practice Before the

Commission (Rule 2)

602.21 Appearance.

602.22 Authority for representation.

502.23 Notice of appearance; written ap-

pearance; substitutions.

602.34 Practice before the Commission do-


502.26 Presiding omcer defined.

602.26 Attorneys at law.

602.27 Persons not attorneys at law.

602.28 Firms and corporations.

602.29 Hearings.

802.30 Suspension or disbarment.

602.31 Statement of interest.

502.32 Former employees.

Subpart C-Parties (Rule 3)

502.41 Parties; how designated.


Hearing Counsel.

502.43 Substitution of parties.


Necessary and proper parties in

certain complaint proceedings.

Subpart D-Rule Making (Rulo 4)

502.51 Petition for issuance, amendment

or repeal of rule.

502.52 Notice of proposed rule making.

502.53 Participation in rule making.

502.54 Contents of rules.

502.56 Effective date of rules.

Subpart Proceedings; Pleadings; Motions;

Replies (Rulo 5)

502.61 Proceedings.

602.62 Complaints.

502.63 Reparation, statute of limitations

502.64 Answer to complaint.

502.65 Replies to answers not permitted.

602.66 Order to show cause.

502.67 Proceedings under section 3 of tho

Intercoastal Act.

602.88 Declaratory orders.

502.69 Petitions-general.

602.70 Amendments or supplements to


602.71 Bill of particulars.

602.72 Petition for Intervention.

502.73 Motions.

802.74 Replies to pleadings, motions, ap-

plications, etc.

Subpart Settlement; Prehearing Proceduro

(Rule 6) Sec. 602.91 Opportunity for informal settle

ment. 602.92 Special docket applications. 802.93 Satisfaction of complaint. 502.94 Prebearing conference.

Subpart — Time (Rulo 7) 802.101 Computation. 502.102 Enlargement of time to ale docu

ments. 502.103 Reduction of time to fle documents. 502.104 Postponement of hearing. 602.106 Waiver of rules governing enlarge

ments of time and postponements

of bearings.
Subpart H-Form, Execution, and Service of

Documents (Rule 8) 802.111 Form and appearance of documente

filled with Commission. 802.112 Subscription and verification of

documents. 602.118 Service by the Commission. 502.114 Service by parties. 502.115 Service on attorney or other rep

resentative. 602.116 Date of service. 802.117 Certificate of service. 502.118 Copies of documents for use of the


Subpart 1 Subpenas (Rulo 9) 602.131 Requests; 18suance. 502.182 Motions to quash or modify. 602.183 Attendance and mileage fees. 802.184 Service of subpenas. 502.186 Subpena of Commission employees,

documents or things. 602.186 witnesses and evidence located in

a foreign country.
Subpart 1—Hearings; Presiding Officers;

Evidence (Rule 10) 802.141 Hearings not required by statuto. 602.142 Hearings required by statute. 602.149 Notice of nature of hearing. Juris.

diction, and issues. 602.144 Notice of time and place of hearing 502.145 Presiding oficer. 502.146 Commencement of functions of Ad

ministrative Law Judge. 602.147 Functions and powers. 602.148 Consolidation of proceedings. 502.149 Disqualification of presiding or par.

ticipating officer. 602.150 Further evidence required by pre

siding officer during hearing. 602.161 Exceptions to rulings of presiding

oficer unnecessary. 602.162 offer of proof. 802.153 Appeal from ruling of presiding

officer. 802.184 Rights of parties as to presentation

of evidence. 602.165 Burden of proof. 602.166 Evidence admissible.

Soc. 602.167 Written evidence. 602.168 Documents containing matter not

material. 502.159 Copies of exhibits. 602.180 Records in other proceedings. 602.161 Commission's files. 602.162 Stipulations. 602.163 Receipt of documents after hearing. 502.164 Oral argument at hearings. 502.165 Oficial transcript. 602.166 Corrections of transcript. 602.167 Objection to public disclosure of in

formation. 602.168 Copies of data or evidence. 602.169 Record for decision. 502.170 Disposition of communications ex

traneous to the record. Subpart K-Shortened Procedure (Rule 111 602.181 Selection of cases for shortened

procedure; consent required. 502.182 Complaint and memorandum of

facts and arguments. 502.183 Respondent's answering memoran.

dum. 602.184 Complainant's memorandum

reply. 502.186 Service of memoranda upon and by

interveners. 502.186 Contents of memoranda. 502.187 Procedure after filing of memo

randa. Subpart 1Depositions, Written Interrogatories,

and Discovery (Rulo 12) 502.201 General. 502.202 Persons before whom depositions

may be taken. 502.203 Use of depositions at hearings. 502.204 Depositions upon oral examination. 502.205 Depositions of witnesses upon writ

ten interrogatories. 502.206 Interrogatories to parties. 502.207 Production of documents and things

and entry upon land for inspec

tion purposes. 502.208 Requests for Admission. 602.209 Use of discovery procedures directed

to the Commission. 602.210 Refusal to make discovery: con

sequences. 502.211 Witnesses and evidence located in a

foreign country.
Subpart M-Briefs; Requests for Findings;

Decisions; Exceptions (Rule 13) 502.221 Briefs; request for findings. 502.222 Requests for enlargement of time

for filing briefs. 502.223 Decisions-Administrative Law

Judges. 502.224 Separation of functions. 502.226 Decisions-contents and service. 502.226 Decision based on oficial notice;

public documents. 502.227 Exceptions to decisions; replies

thereto; and review of decisions by Commission.


Sec. 502.228 Request for enlargement of time for Bling exceptions and replies

Subpart U—Conciliation Service (Rule 21] thereto.

602.401 Definitions. 602.229 Certification of record by predding

502.402 Policy. or other oicer.

502.403 Persons eligible for service. 602.230 Reopening by presiding omcer 502.404 Procedures. commission.

502.405 Assignment of conciliators.

502.406 Opinions. Subpart 1-Oral Argument; Submission for Final Decision (Rulo 141

AUTHORITY: The provisions of this Part 502

Issued under secs. 204(b), 49 Stat. 1987, secs. 602.241 Oral argument.

3, 4, 12, 80 Stat. 383, secs. 22, 43, 39 Stat. 736, 602.242 Submission to Commission for anal

75 Stat. 768; 46 U.S.C. 1114(b), 5 U.S.C. 552, decision.

553, 559, 46 U.S.C. 820, 841a, unless otherwise 502.243 Participation of absent Commis

noted. sioner.

SOURCE: The provisions of subparts A to R Subpart O-Reparation (Rulo 15)

contained in General Order 16, 30 F.R. 13604, 602.251 Proof on award of reparation.

Oct. 26, 1965, as amended by Amdt. 10, 37 F.R. 602.252 Reparation statements.

19135, Sept. 19, 1972, unless otherwise noted.

The provisions of Subparts S and T (inSubpart P Reconsideration of Proceedings cluding Appendixes A and B) contained in (Rulo 16)

General Order 16, 32 F.R. 7455, May 19, 1967, 602.261 Petitions.

as amended by Amdt. 10, 37 F.R. 19135, Sept. 502.262 Reply.

19, 1972, unless otherwise noted.

The provisions of Subpart U contained in Subpart Q Schedules and Forms (Rulo 17) General Order 16, Amdt. 8, 83 F.R. 11081, 602.271 Schedule of information for proson

Aug. 3, 1968, unless otherwise noted. tation in regulatory cases; apo Subpart A-General Information proved forms.

(Rule 1) Subpart R-Nonadjudicatory Investigations (Rule 18)

§ 502.1 Scope of rules in this part. 302.281 Investigational policy.

The rules in this part govern procedure 502.282 Initiation of Investigations.

before the Federal Maritime Commis502.283 Order of Investigation. 502.284 By whom conducted.

sion, hereinafter referred to as the 502.285 Investigational bearings.

"Commission," under the Shipping Act, 502.286 Compulsory processes.

1916, Merchant Marine Act, 1920, Inter602.287 Depositions.

coastal Shipping Act, 1933, Merchant 502.288 Reports.

Marine Act, 1936, Administrative Pro602.289 Noncompliance with investigational

cedure Act, and related acts, except that processes. 603,290 Rights of witness.

Subpart R (Rule 18) of this part does 502.291 Nonpublic proceedings.

not apply to proceedings subject to secSubpart 5 Informal Procedure for Adjudication

tions 7 and 8 of the Administrative Proof Small Claims (Rule 19)

cedure Act, which are to be governed only 602.801 Policy.

by Subparts A to Q (Rules 1 to 17) in602.302 Limitation of actions.

clusive, of this part. They shall be con602.303 Overcharges and damages defined. strued to secure the just, speedy, and 602.804 Procedure.

inexpensive determination of every proSubpart T-Formal Procedure for Adjudication ceeding. [Rule 1(a).)

of Small Claims [Rule 201 602.311 Applicability.

8 502.2 Mailing address; hours. 502.312 Answer to complaint.

Documents required to be filed in, and 602.318 Reply of complainant.

correspondence relating to, proceedings 602.314 Additional information. 602.316. Request for oral bearing.

governed by the rules in this part should 502.316 Intervention.

be addressed to "Federal Maritime Com502.317 Oral argument.

mission, Washington, D.C., 20573.” The 602.318 Decisions.

hours of the Commission are from 8:30 602.819 Date of service and computation of

a.m. to 5 p.m., Monday to Friday, inclutime. 602.320 Service.

sive, unless otherwise provided by statute 502.821 Applicability of other rules of this

or executive order. (Rule 1(b).] part.

(G.O. 16, 80 F.R. 18604, Oct. 26, 1966, au Appendix A.

amended by Amdt. 8, 86 P.R. 6751, Apr. 29., Appendix B.



8 502.3 Compliance with rules or orders 8 502.10 Waiver of rules in this part. of Commission.

Except to the extent that such waiver Persons named in a rule or order shall would be inconsistent with any statute, notify the Commission during business any of the rules in this part, except hours on or before the day on which such $ 502.153 (Rule 10(m)), may be waived rule or order becomes effective whether by the Commission or the ding ofithey have complied therewith, and if so, cer in any particular case to prevent unthe manner in which compliance has due hardship, manifest injustice, or i been made. It & change in rates is re- the expeditious conduct of business so required, the notification shall specify the quires. (Rule 1(3).) tariffs which effect the changes. (Rule 1(c).)

Subpart B/Appearances and Prac

tice Before the Commission (Rulo 2). 8 502.4 Authentication of rules or or ders of the Commission.

8502.21 Appearance. All rules or orders issued by the Com.

(a) Parties. A party may appear in mission, in any proceeding covered by the

person or by an officer, partner, or regurules in this part shall, unless otherwise lar employee of the party, or by or with specifically provided, be signed and au

counsel or other duly qualified reprethenticated by seal by the Secretary of sentative, in any proceeding under the the Commission in the name of the Com

rules in this part. Any party or his mission. [Rule 1(d).)

representative may testify, produce and

examine witnesses, and be heard upon $ 502.7 Documents in foreign languages. brief and at oral argument it oral argu

Every document, exhibit, or other pa- ment is granted. per written in a language other than (b) Persons not parties. One who English and filed with the Commission appears in person before the Commission or offered in evidence in any proceeding or a representative thereof, either by before the Commission under the rules compulsion from, or request or permisin this part or in response to any rule sion of the Commission, shall be accorded or order of the Commission pursuant to the right to be accompanied, represented, the rules in this part, shall be filed or and advised by counsel. (Rule 2(a).) offered in the language in which it is

8 502.22 Authority for representation. written and shall be accompanied by an English translation thereof duly verified

Any individual acting in a representeunder oath to be an accurate translation.

tive capacity in any proceeding before (Rule 1(g).]

the Commission may be required to show

his authority to act in such capacity 8 502.8 Denial of applications and no- (Rule 2(b).) tice thereof.

8 502.23 Notice of appearance; written Except in affirming a prior denial or

appearance; substitutions. where the denial is self-explanatory,

(a) Within twenty (20) days after prompt written notice will be given of the

service of an order or complaint Instidenial in whole or in part of any written

tuting a proceeding, complainants, reapplication, petition, or other request

spondents, and/or petitioners named made in connection with any proceeding therein shall notify the Commission of under the rules in this part, such notice the name(s) and address(es) of the perto be accompanied by a simple statement son or persons who will represent them of procedural or other grounds for the in the pending proceeding. Each person denial, and of any other or further ad- who appears at a hearing shall deliver & ministrative remedies or recourse appli

written notice of appearance to the recant may have where the denial is based

porter, stating for whom the appearance on procedural grounds. (Rule 1(h).)

is made. All appearances shall be noted

in the record. Petitions to Intervene 8 502.9 Suspension, amendment, etc., of shall indicate the name(s) and adrules in this part.

dress(es) of the person or persons who The rules in this part may, from time will represent the intervener in the pendto time, be suspended, amended, or re- ing proceeding if the Petition to Intervoked, in whole or in part. Notice of any vene is granted. If an attorney or other such action will be published in the representative of record is superseded, FEDERAL REGISTER. (Rule 1(1).)

there shall be filed a stipulation of substitution signed both by the attorney(s) or sesses the necessary legal, technical, or representative(s) and by the party, or a other qualifications to enable him to written notice from the client to the render valuable service before the Com. Commission.

mission and is otherwise competent to (b) A form of Notice of Appearance is advise and assist in the presentation of set forth in Appendix II (6) of the rules matters before the Commission. Apin this part. This form also contains a plications by persons not attorneys at request and authorization for counsel to law for admission to practice before the be notified immediately of the service of Commission shall be made on the forms decisions of the presiding officer and the prescribed therefor, which may be obCommission by collect telephone call or tained from the Secretary of the Comtelegram. Copies of this form may be mission, and shall be addressed to the obtained from the Ofice


the Federal Maritime Commission, WashingSecretary. [Rule 2(c).)

ton, D.C., 20573. No person who is not (G.O. 16, Amdt. 2, 83 PR. 9401, June 27, 1968] an attorney at law and whose application

has not been approved shall be permitted 8 502.24 Practice before the Commis sion defined.

to practice before the Commission. This

provision and the provisions of 88 502.28 Practice before the Commission shall (Rule 2(h)), 502.29 (Rule 2(1)), and be deemed to comprehend all matters 502.30 (Rule 2(j)), shall not apply, howconnected with the presentation of any ever, to any person who appears before matter to the Commission, including the the Commission on his own behalf or on preparation and filing of necessary docu- behalf of any corporation, partnership, ments, and correspondence with and or association of which he is a partner, communications to the Commission. oficer, or regular employee. [Rule The term “Commission” as used herein 2(g).) includes any division, office, branch, section, unit, or field ofice of the Federal

8 502.28 Firms and corporations. Maritime Commission and any officer or Practice before the Commission by employee of such diyision, ofice, branch, firms or corporations on behalf of others section, unit, or field office. (Rule 2(d).) shall not be permitted. (Rule 2(b).) 8 502.25 Presiding officer defined. 8 502.29 Hearings.

"Presiding officer” means and shall in. The Commission in its discretion may clude (a) any one or more of the mem. call upon the applicant for a full statebers of the Commission (not including ment of the nature and extent of his the Commission when sitting as such), qualifications. If the Commission is not (b) one or more Administrative Law satisfied as to the suficiency of the apJudges or (c) one or more officers au- plicant's qualifications, it will so notify thorized by the Commission to conduct him by registered mail, whereupon he nonadjudicatory proceedings when duly shall be granted a hearing upon request designated to preside at such proceed- for the purpose of showing his qualificeings. [Rule 2(e).)

tions. If he presents to the Commission 8 502.26. Attorneys at law.

no request for such hearing within twenty Attorneys at law who are admitted to

(20) days after receiving the notification practice before the Federal courts or be

above referred to, his application shall fore the courts of any State or Territory

be acted upon without further notice. of the United States may practice before (Rule 2(1).) the Commission. An attorney's own rep

8 502.30 Suspension or disbarment. resentation that he is such in good standing before any of the courts herein

The Commission may, deny admission referred to will be sufficient proof thereof,

to, suspend, or disbar any person from I made in writing and filed with the

practice before the Commission who it Secretary. (Rule 2 (1).]

finds does not possess the requisite quali

fications to represent others or is lack8 502.27 Persons not attorneys at law. ing in character, integrity, or proper

Any person who is not an attorney at professional conduct. Any person who law may be admitted to practice before has been admitted to practice before the the Commission if he is a citizen of the Commission may be disbarred from such United States and files proof to the satis- practice only after he is afforded an faction of the Commission that he pos- opportunity to be heard. (Rule 2(1).)

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