(f) Improper matter. Any paper containing defamatory, scurrilous, or unethical matter will be rejected by the Commission.

[Order 141, 12 F.R. 8476, Dec. 19, 1947, as amended by Order 189, 21 FR. 5055, July 7, 1956; Order 321, 31 F.R. 5878, Apr. 16, 1966]

§ 1.16

Subscription and verification.

(a) Subscription—(1) By whom. Applications, formal complaints, petitions and other pleadings, amendments thereto, notices, reports, exhibits, and other requests, submittals, or statements filed with the Commission shall be subscribed: (i) by the person filing the same, and severally if there be more than one person so filing; (ii) by an officer thereof if it be a corporation, trust, association, or other organized group; (iii) by an officer or employee thereof if it be a State commission, a department or political subdivision of a State, or other governmental authority, agency or instrumentality; or (iv) by an attorney having authority with respect thereto. Applications, formal complaints, petitions to intervene and petitions initiating proceedings, filed by any corporation, trust, association, or other organized group, may be required to be supplemented by appropriate evidence of the authority of the officer or attorney subscribing such pleadings.

(2) Effect. The signature of the person, officer or attorney subscribing any pleading or matter filed with the Commission constitutes a certificate by such individual that he has read the pleading or matter being subscribed and filed, and knows the contents thereof; that if executed in any representative capacity, the matter has been subscribed and executed in the capacity specified upon the pleading or matter filed with full power and authority so to do; that the contents are true as stated, except as to matters and things, if any, stated on information and belief, and that as to those matters and things, he believes them to be true.

(b) Verification. Any facts alleged in the matter filed shall be verified under oath by the person filing, an officer, or other person having knowledge of the matters set forth. If the verification be by any one other than the person filing or other than an officer thereof, it shall include a statement of the reason therefor.

[Order 141, 12 F.R. 8476, Dec. 19, 1947]

§ 1.17 Service.

(a) By the Commission. Applications, formal complaints, petitions, other than intervening petitions, orders and all forms of Commission action shall be served by the Secretary by mail, except when service by other method shall be specifically required by the Commission, by mailing a copy thereof to the person, partnership, corporation, trust, association, or other organized group to be served, addressed to the person or persons designated in the initial pleadings, at his or its principal office or place of business. When service is not accomplished by mail, it may be effected by any one duly authorized by the Commission, (1) by delivering a copy of the document to the person to be served, or to the president, secretary, attorney or other executive officer or a director of a corporation to be served, or to the representative of the trust, association or other organized group to be served, or (2) by leaving a copy thereof at the principal office or place of business of such person, partnership, corporation, trust, association or other organized group to be served. The return post office receipt for said document or other paper when served by certified or registered mail, or the verified return by the person accomplishing service, setting forth the manner of said service, shall be proof of such service.

(b) By parties. Applications and petitions for amendment or modification of orders, answers. protests, intervening petitions, supplements or amendments thereto or to applications, complaints or petitions, motions, briefs, notices, and all other papers, except depositions, filed in proceedings pending before the Commission upon its docket, when filed or tendered to the Commission for filing, shall show service thereof upon all participants to the proceeding. Such service shall be made by delivering in person or by mailing, properly addressed with postage prepaid, one copy to each participant.

(c) Upon attorneys. When any participant has appeared by attorney, service upon such attorney shall be deemed service upon the participant.

(d) Date of service. The date of service shall be the day when the matter served is deposited in the United States mail, or is delivered in person, as the case may be. In computing the time from such date, the provisions of § 1.13 (a) shall apply.

(e) Certificate of service. There shall accompany and be attached to the original of each pleading, document, or other paper filled with the Commission, when service is required to be made by the parties, a certificate of service in the form prescribed by §§ 1.51, 131.1 and 250.1 of this chapter. All other copies filed shall be fully conformed thereto.

(f) Copies. Where service is made by the parties, or service is not required to be made, save to the extent a different number is required by the Commission's rules and regulations governing the specific filing, an original and 14 conformed copies of such pleadings, documents, or other papers, together with exhibits, if any, shall be filed with the Commission in lieu of the original and 19 conformed copies required by § 1.15 (b). (See § 1.26 (c) (5) re exhibits in hearings.) [Order 141, 12 FR. 8476, Dec. 19, 1947, as amended by Order 175, 19 F.R. 5213, Aug. 18, 1954; Order 191, 21 FR. 8748, Nov. 10, 1956; Order 287, 29 F.R. 13101, Sept. 19, 1964] § 1.18 Conferences; offers of settlement.

(a) To adjust or settle proceedings. In order to provide opportunity for the submission and consideration of facts, arguments, offers of settlement, or proposals of adjustment, for settlement of a proceeding, or any of the issues therein, or consideration of means by which the conduct of the hearing may be facilitated and the disposition of the proceeding expedited, conferences between the parties to the proceeding and staff for such purposes may be held at any time prior to or during such hearings before the Commission or the officer designated to preside thereat as time, the nature of the proceeding, and the public interest may permit.

(b) To expedite hearings. At such prehearing or other conferences as may be held to expedite the orderly conduct and disposition of any hearing, there may be considered, in addition to any offers of settlement or proposals of adjustment, the possibility of the following:

(1) The simplification of the issues; (2) The exchange and acceptance of service of exhibits proposed to be offered in evidence;

(3) The obtaining of admission as to, or stipulations of, facts not remaining in dispute, or the authenticity of documents which might properly shorten the hearing;

(4) The limitation of the number of expert witnesses;

(5) Such other matters as may properly be dealt with to aid in expediting the orderly conduct and disposition of the proceeding.

(c) Initiation of conferences. The Commission or officer designated to preside, with or without motion, and after consideration of the probability of beneficial results to be derived therefrom, may direct that a conference be held, and direct the parties to the proceeding, their attorneys, the Commission's staff and staff counsel to appear thereat to consider any or all of the matters enumerated in paragraph (b) of this section. Due notice of the time and place of such conference will be given to all parties to the proceeding, their attorneys, the Commission's staff, and staff counsel. All parties will be expected to come to the conference fully prepared for a useful discussion of all problems involved in the proceeding, both procedural and substantive, and fully authorized to make commitments with respect thereto. Such preparation should include, among other things, advance study of all relevant material, and advance informal communication between the parties, including requests for additional data and information, to the extent it appears feasible and desirable. Failure of a party to attend such conference, after being served with due notice of the time and place thereof, shall constitute a waiver of all objections to the agreements reached, if any, and any order or ruling with respect thereto.

(d) Presiding examiner's authority at conference. The presiding examiner at such conference may dispose of by ruling, irrespective of the consent of the parties, any procedural matters which he is authorized to rule upon during the course of the proceeding, and which it appears may appropriately and usefully be disposed of at that stage. In addition, where it appears that the proceeding would be substantially expedited by distribution of proposed exhibits and written prepared testimony reasonably in advance of the hearing session, the presiding examiner at his discretion and with due regard for the convenience and necessity of the parties or their attorneys, the Commission's staff or staff counsel, may direct such advance distribution by a prescribed date. The presiding examiner's rulings made at such

conference shall control the subsequent course of the hearing, unless modified for good cause shown.

(e) Offers of settlement. Nothing contained in this section shall be construed as precluding any party to a proceeding from submitting at any time offers of settlement or proposals of adjustment to all parties and to the Commission (or to staff counsel for transmittal to the Commission), or from requesting conferences for such purpose. Unaccepted proposals of settlement or of adjustment or as to procedure to be followed and proposed stipulations not agreed to shall be privileged and shall not be admissible in evidence against any counsel or person claiming such privilege.

(f) Refusal to make admissions or stipulate. If a party attending a conference convened pursuant to this section refuses to admit or stipulate the genuineness of any documents or the truth of any matters of fact and if the party requesting the admissions or stipulations thereafter proves the genuineness of any such document or the truth of any such matter of fact, he may apply to the officer designated to preside for an order requiring the other party to pay him the reasonable expenses incurred in making such proof, including reasonable attorney's fees. Unless the officer designated to preside finds that there were good reasons for the refusal to admit or stipulate or that the admissions or stipulations sought were of no substantial importance, the order shall be made. An appeal may be taken to the Commission immediately from any such order. If a party refuses to comply with such order after it becomes final, the Commission may strike all or any part of such party's pleadings or limit or deny further participation by such party.

[Order 141, 12 F.R. 8477, Dec. 19, 1947, as amended by Order 217, 24 F.R. 9472, Nov. 25, 1959; Order 373, 33 F.R. 17174, Nov. 20, 1968] § 1.19 Notice.

(a) Rulemaking proceedings. Before the adoption of any rule of general applicability, or the commencement of any hearing on any such proposed rulemaking, the Commission will cause general notice to be given by publication in the FEDERAL REGISTER, such notice to be published therein not less than 15 days prior to the date fixed for the consideration of the adoption of a proposed rule or

rules or for the commencement of the hearing, if any, on the proposed rule making, except where a shorter period is reasonable and good cause exists therefor: Provided, however, That

(1) Where the Commission, for good cause, finds it impracticable, unnecessary, or contrary to the public interest to give such notice, it may proceed with the adoption of rules without notice by incorporating therein a finding to such effect and a concise statement of the reasons therefor;

(2) Except where notice or hearing is required by statute, the Commission may issue at any time rules of organization, procedure or practice, or interpretative rules, or statements of policy, without notice or public proceedings; and

(3) This section is not to be construed as applicable to the extent that there may be involved any military, naval or foreign affairs function of the United States, or any matter relating to the Commission's management or personnel, or to United States property, loans, grants, benefits, or contracts.

(b) Other proceeding. In proceedings other than those referred to in paragraph (a) of this section all notices and orders initiating hearings described in § 1.20(a) shall be published in the FEDERAL REGISTER. In the case of a notice or order initiating a hearing without specifying the time and place thereof such notice or order shall be published in the FEDERAL REGISTER not less than fifteen (15) days prior to the date fixed therein for the filing of protests, petitions to intervene and notices of intervention. In the case of a notice or order fixing the time and place for the initial convening of a hearing, the notice or order shall be published in the FEDERAL REGISTER not less than fifteen (15) days prior to the date fixed in said notice or order for the convening of the hearing, unless the Commission finds that a shorter period of notice is reasonable and consistent with the public interest. In addition to such publication in the FEDERAL REGISTER, Copies of the notice or order will be mailed to the parties and their attorneys of record and to States or other governmental authorities which have asked to be notified. Similar notice shall be served of the time when and place where a hearing will be reconvened unless announcement was made thereof by the presiding officer at the adjournment of the earlier session of the hearing. In fixing the time and

the purpose of taking evidence shall be initiated by the Commission by issuance of an order or by notice of the Secretary announcing the initiation of a hearing.

(b) Consolidation. The Commission upon its own motion, or upon motion by a party or staff counsel, may order proceedings involving a common question of law or fact to be consolidated for hearing of any or all the matters in issue in such proceedings.

(c) Presiding officers. All such hearings shall be held before the Commission or a duly designated presiding officer; but nothing in this section shall be deemed to supersede or preclude the conduct of proceedings before boards or other officers specially provided for in § 1.37 or as the Commission may, after due notice, specially authorize and order.

(d) Disqualification of a presiding officer. A presiding officer may withdraw from a proceeding when he deems himself disqualified, or he may be withdrawn by the Commission for good cause found after timely affidavits alleging personal bias or other disqualifications have been filed and the matter has been heard by the Commission or by a presiding officer to whom it has delegated the matter for investigation and report.

(e) Appearances. The Commission or the presiding officer before whom the hearing is held will cause to be entered upon the record all appearances, with a notation in whose behalf each appearance is made. Included in such appearances shall be staff counsel participating, and a notation shall be made in the record of the names of the members of the Commission's technical staff participating, including accountants, engineers, and other experts, who have been assigned to work on the investigation or to assist in the trial of the case.

(f) Order of procedure. In hearings upon applications, declarations of intention, and determinations of the actual legitimate original cost of licensed projects, the applicant, declarant or licensee shall open and close. In hearings on

formal complaints or petitions, the complainant or petitioner, as the case may be, shall opend and close. In hearings involving suspended rates, the respondent shall open and close. In hearings on investigations, the presiding officer may direct who shall open and close. In hearings in proceedings in which accounting entries are questioned by the Commission, the party whose entries are in question shall open and close. When proceedings have been consolidated for hearing, the presiding officer shall designate who shall open and close. Interveners shall follow the parties in whose behalf the intervention is made; where the intervention is not in support of an original party, the presiding officer shall designate at what stage such intervener shall be heard. In proceedings where the evidence is peculiarly within the knowledge or control of another party or participant, the foregoing order of presentation may be varied by the presiding officer. The applications (including attached exhibits), declarations of intention, complaints, formal protests, determinations of actual legitimate original cost of licensed projects, orders to show cause and responses thereto, and similar formal documents upon which hearings are fixed shall, without further action, be considered as parts of the record as pleadings: Provided, however, That in no event, except as contemplated by the provisions of § 1.32(b), shall such pleadings, or any part thereof, be considered as evidence of any fact other than that of the filing thereof unless offered and received in evidence in accordance with the Commission's rules.

(1)

(g) Presentation by the parties. Parties and staff counsel shall have the right of presentation of evidence, crossexamination, objection, motion, argument and appeal. The taking of evidence and subsequent proceedings shall proceed with all reasonable diligence and with the least practicable delay.

(2) When objections to the admission or exclusion of evidence before the Commission or the presiding officer are made, the grounds relied upon shall be stated briefly. Formal exceptions are unnecessary and will not be taken to rulings thereon.

(h) [Reserved]

(i) Limiting number of expert witnesses. The Commission or the presiding officer may limit appropriately the number of expert witnesses that may be heard upon any issue.

(j) Additional evidence. At any stage of the hearing the Commission or the presiding officer may call for further evidence upon any issue, and require such evidence to be presented by the party or parties concerned or by the staff counsel, either at that hearing or adjournments thereof. At the hearing, the Commission or the presiding officer may, if deemed advisable, authorize any participant to file specific documentary evidence as a part of the record within a fixed time, expiring not less than 10 days before the date fixed for filing and serving briefs.

Hearings

(k) Transcript and record. shall be stenographically reported by the official reporter of the Commission, and a transcript of said report shall be a part of the record and the sole official transcript of the proceeding. Such transcripts shall include a verbatim report of the hearings; nothing shall be omitted therefrom except as is directed on the record by the Commission or the presiding officer. After the closing of the record, there shall not be received in evidence or considered as part of the record any document, letter or other writing submitted after the close of testimony except as provided in paragraph (j) of this section, or changes in the transcript as provided in paragraph (1) of this section.

(1) Transcript corrections. Corrections in the official transcript may be made only to make it conform to the evidence presented at the hearing and to speak the truth. No corrections or physical changes shall be made in or upon the official transcript of the proceeding, except as provided in this section. Transcript corrections agreed to by opposing attorneys may be incorporated into the record, if and when approved by the Commission or the presiding officer, at any time during the hearing or after the close of evidence, as may be permitted by the Commission, or by the presiding officer before the filing of his report, but not less than 10 days in advance of the time fixed for filing final briefs. The Commission or the presiding officer may call for the submission of proposed corrections and may make disposition thereof at appropriate times during the course of a proceeding.

(m) Contents of orders and notices initiating hearings-(1) Rule making proceedings. The order or notice shall state the time and place of hearing, and

nature of the proceeding, recite the authority under which the rule is proposed to be adopted and promulgated, and include either the terms or substance of the proposed rule or a description of the subjects and issues involved to inform interested persons of the nature of the proceeding, so as to permit any interested person to submit views, data, or proposals relative thereto; and such notice will set forth a time period within which interested persons may submit written data, views, or arguments concerning the proposed rule, or request oral argument thereon.

(2) Other proceedings. The order or notice initiating a hearing shall set forth the authority and jurisdiction under which the hearing is to be held, shall state the nature of the proceeding and shall name the officer designated to preside at the hearing, except as hereinafter provided. Such order or notice shall also specify the final date for the filing of protests to the authorization sought and for the filing of petitions and notices to intervene except in cases where such date has been fixed by a former notice. The order or notice initiating the hearing shall not specify the date of hearing unless the Commission deems it appropriate that it do so: Provided, however, That where the notice or order provides that the Commission may, after a non-contested hearing, dispose of the proceedings pursuant to the provisions of § 1.30 (c) (1) or (2) or § 1.32 (a) or (b), as may be appropriate, the notice or order shall also fix a date for hearing as soon after the expiration of the time for filing protests, petitions to intervene and notices of intervention as may be practicable. In such instance, the notice or order need not designate the presiding examiner but shall state that if a protest, petition to intervene in opposition, or notice of intervention in opposition is filed, the hearing date will be vacated and a new date for hearing will be fixed. [Order 141, 12 F.R. 8478, Dec. 19, 1947, as amended by Order 175, 19 F.R. 5213, Aug. 18, 1954; Order 179, 20 F.R. 3934, June 7, 1955; Order 217, 24 F.R. 9472, Nov. 25, 1959]

§ 1.21 Copies of transcripts.

(a) Availability to participants in public hearings. The Commission will cause to be made a stenographic record of all public hearings and such copies of the transcript thereof as it requires for its own purposes. Participants desiring