commenced and before final Commission action; and any such papers made a part of the public rules and records by inclusion in a formal record (see subparagraph (19) of this paragraph, and said § 1.36 (c) (4)) or in any Commission memorandum or correspondence which is part of the public files and records (see subparagraphs (21) and (22) of this paragraph and said § 1.36 (c)). (21) "Commission memoranda." For the purpose of this paragraph and § 1.36, Commission memoranda include all written communications from the staff or a presiding officer which are intended for the Commission's consideration and all those to the staff or a presiding officer which are signed or transmitted by or on behalf of the Chairman, a Commissioner, the Secretary, or the Executive Director. (22) "Commission correspondence." For the purpose of this paragraph and § 1.36, Commission correspondence includes all written communications and enclosures received from others than the staff and intended for the Commission or sent to others than the staff and signed by the Chairman, a Commissioner, the Secretary, the Executive Director, or other authorized official, except those which are purely personal. (g) Public information. Requests for information may be addressed to the Office of Public Information at the Commission's headquarters in Washington, D.C. Public records are available for public inspection and copying at that office, as provided in § 1.36. Pleadings and other official filings are made as provided in § 1.2(c). A description of the facilities available for public reference and the procedures that may be employed to obtain information, copies of public records or to secure informal advice and assistance from or consultation with members of the staff on problems relating to the statutes and regulations administered by the Commission is contained in the material published in Part 3 of this chapter. [Order 141, 12 F.R. 8471, Dec. 19, 1947, as amended by Order 175, 19 F.R. 5213, Aug. 18, 1954; Order 186, 21 F.R. 2613, Apr. 24, 1956; Order 194-A, 21 F.R. 10335, Dec. 27, 1956; Order 351, 32 F.R. 10062, July 8, 1967] § 1.2 The Secretary. (1) The Secre(a) Official records. tary shall have custody of the Commission's seal, the minutes of all action taken by the Commission, its rules and regulations and its administrative orders. (2) The Records Officer shall have custody of all records of the Commission except those designated in subparagraph (1) of this paragraph. (b) Authentication of Commission action. All orders and other actions of the Commission shall be authenticated or signed by the Secretary or such other person as may be authorized by the Commission. (c) Pleadings and submittals. Pleadings and other submittals or papers shall be filed in the Office of the Secretary of the Commission at Washington, D.C., within such time limits as are prescribed for such filings. [Order 141, 12 F.R. 8472, Dec. 19, 1947, as amended by Order 248, 27 F.R. 5606, June 13, 1962; Order 351, 32 F.R. 10062, July 8, 1967] § 1.3 Notice of public sessions and proceedings. Public sessions of the Commission for taking evidence or hearing argument and public conferences and hearings before any presiding officer, including substantive rulemaking proceedings, will not be held except upon due notice. [Order 141, 12 F.R. 8472, Dec. 19, 1947] (a) Appearances. (1) Participants may appear in any proceeding in person or by an attorney or other qualified representative. An individual may appear in his own behalf, a member of a partnership may represent the partnership, a bona-fide officer of a corporation, trust, association or organized group may represent the corporation, trust, association or group, and an officer or employee of a State commission, of a department or political subdivision of a State or other governmental authority, may represent the State commission or the department or political subdivision of the State or other governmental authority, in any proceeding. (2) Any person compelled to appear or voluntarily testifying or making a statement before the Commission or the presiding officer, may be accompanied, represented and advised by an attorney or other qualified representative. (3) All persons appearing before the Commission or the presiding officer must conform to the standards of ethical conduct required of practitioners before the Courts of the United States, and where applicable, to the requirements of section 12(i) of the Public Utility Holding Company Act of 1935 (49 Stat. 825; 15 U.S.C. 797(i)). (4) Any person appearing before or transacting business with the Commission in a representative capacity may be required by the Commission or the presiding officer to file evidence of his authority to act in such capacity. (5) A person intending to appear before the Commission or its presiding examiners in a representative capacity for a participant in a hearing shall fille with the Commission a notice of appearance in the form prescribed by § 1.50, unless the person is named in the application, petition, complaint, answer, or other initial filing of the participant whom he represents, as a person to whom communications from the Commission in regard to the filing are to be addressed. Failure to file a notice required by this subsection shall constitute waiver of the right to service of documents issued by the Commission. (b) Suspension. (1) After hearing the Commission may disqualify and deny, temporarily or permanently, the privilege of appearing or practicing before it in any way to any person who is found (i) not to possess the requisite qualifications to represent others, or (ii) to have engaged in unethical or improper professional conduct, or (iii) otherwise to be not qualified. (2) Contumacious conduct at any hearing before the Commission or a presiding officer shall be ground for exclusion of any person from such hearing and for summary suspension for the duration of the hearing by the Commission or the presiding officer. (c) Appearances of former employees. No person having served as a member, officer, expert, examiner, attorney, accountant, engineer, or other employee of the Federal Power Commission may practice before or act as attorney, expert witness, or representative in connection with any proceeding or matter before the Commission which such person has handled, investigated, advised or participated in the consideration thereof while in the service of the Commission unless he be expressly authorized by the Commission on a verified showing that such participation would not be contrary to the public interest and would not be unethical or prejudicial to the interests of the Commission. (d) Ex parte communications. In order to avoid all possibilities of prejudice, real or apparent, to the public interest and persons involved in proceedings pending before the Commission— (1) No person who is a party to, or his counsel, agent, or other persons acting on his behalf, and no interceder in, any on-the-record proceeding, shall submit ex parte, off-the-record communications to any member of the Commission or of his personal staff, to the hearing examiner or to any employee participating in the decision in such proceeding, regarding any matter at issue in any contested on-the-record proceeding, except as authorized by law; and no Commissioner, member of his personal staff, hearing examiner, or any employee participating in the decision in such proceeding, shall request or entertain any such ex parte, off-the-record communications. For the purposes of this paragraph, the term "contested on-therecord proceeding" means a proceeding required by statute, constitution, published Commission rule or regulation or order in a particular case, to be decided on the basis of the record of a Commission hearing, and in which a protest or a petition or notice to intervene in opposition to requested Commission action has been filed; the term "interceder" shall include any individual outside the Commission, whether in private or public life, partnership, corporation, association, or other agency, other than a party or an agent of a party, who volunteers a communication. (2) All written communications prohibited by subparagraph (1) of this paragraph shall be delivered to the Secretary of the Commission who shall place the communication in public files associated with the case, but separate from the record material upon which the Commission can rely in reaching its decision. (3) A Commissioner, member of his immediate staff, hearing examiner, or employee participating in the decision in such proceeding who receives an offer of any communication concerning any matter at issue in an on-the-record proceeding shall decline to listen to such communication and shall explain that the matter is pending for determination. If unsuccessful in preventing such communication, the recipient thereof shall advise the communicator that he will not consider the communication, and he shall promptly and fully inform the Commission of the substance of the communication and the circumstances thereof, so that the Commission will be enabled to take appropriate action. (4) Requests for an opportunity to rebut, on the record, any facts or contentions contained in an ex parte communication which the Secretary has associated with the record may be filed in writing with the Commission. The Commission will grant such requests only where it determines that the dictates of fairness so require. Where the communication contains assertions of fact not a part of the record and of which the Commission cannot take official notice, the Commission in lieu of receiving rebuttal material normally will direct that the alleged factual assertion and any proposed rebuttal be disregarded in arriving at a decision. Nor will the Commission normally permit rebuttal of ex parte endorsement or oppositions by civic or other organizations by the submission of counter endorsements or oppositions. (5) The prohibitions contained in subparagraph (1) of this paragraph shall apply from the time the Commission announces that an on-the-record hearing will be held. [Order 141, 12 F.R. 8473, Dec. 19, 1947, as amended by Order 184, 21 F.R. 1047, Feb. 15, 1956; Order 211, 24 F.R. 1345, Feb. 21, 1959; Order 265, 28 F.R. 2899, Mar. 23, 1963] § 1.5 Applications. (a) General. Applications for authorization or permission which the Commission may give under statutory or other delegated authority administered by it, in addition to the requirements prescribed in this part, shall conform to the requirements of the rules and regulations promulgated by the Commission separately under the several statutes and delegations of authority administered by it. (See Subchapters B and E of this chapter.) (b) Contents. All applications shall be in writing and under oath, shall state clearly and concisely the authorization or permission sought, shall cite by appropriate reference the statutory provision or other authority under which Commission authorization or permission is sought, and shall set forth in the order indicated the following (unless otherwise provided by Commission rules or regulations for the specific type of application involved): (1) The exact legal name of the applicant, if the applicant is a corporation, trust, association or other organized group, the State or territory under the laws of which the applicant was created or organized, the location of applicant's principal place of business, and the names of all states where applicant is authorized to do business. (2) The name, title and post office address of the person to whom correspondence or communications in regard to the application is to be addressed. The Commission will serve, where required, all notices, orders and other papers upon the person so named and such service shall be deemed to be service upon applicant. (3) All other information as required by the Commission's rules and regulations under which a specific type of application is filed, and as may be required by the Commission in a particular case or proceeding. (c) Form. Except where otherwise provided by the Commission rules and regulations under which a specific type of application is filed, applications shall conform to the requirements of §1.15 as to copies and style, and to § 1.16 as to subscription and verification. [Order 141, 12 F.R. 8473, Dec. 19, 1947] § 1.6 Complaints and orders to show cause. (a) Informal complaints—(1) Form. Informal complaints may be made by letter or other writing, and will be filed as received. Matters informally presented will, if their nature so warrants, be taken up by correspondence or conference with the party or parties complained of in an endeavor to bring about satisfaction of the complaint without formal hearing. (2) Substance. No form of informal complaint is prescribed but in substance it should contain the name and address of complainant, the name and address of the party against whom the complaint is made, and a brief statement of the facts forming the basis of such complaint. Although the filing of an informal complaint is without prejudice to complainant's right to file a formal complaint, only formal complaints submitted and prosecuted in the manner prescribed in this section will initiate formal proceedings or make complainant a party to any proceedings already initiated, and only formal complaints will be admitted in the record of formal proceedings. It is desirable that the informal complaint be accompanied by sufficient copies to enable the Commission to transmit one to each party named and to each interested State commission, and retain one for its own use, and it may be accompanied by supporting papers. (b) Formal complaints—(1) Form. Formal complaints shall be in writing and under oath and shall conform to the requirements of §§ 1.15 and 1.16. In such complaints there shall be stated the names and addresses of all parties, complainant and defendant, in full without abbreviations, with the name and address of each complainant's attorney, if any. (2) Substance. Formal complaints shall be so drawn as fully and completely to advise the parties, defendant and the Commission of the facts constituting the grounds of the complaint, the provisions of statutes, rules, regulations, and orders relied upon, involving authority of the Commission, the injury complained of, and the relief sought. (c) Joinder. Two or more grounds of complaint involving the same purposes, subject, or state of facts, may be included in one complaint, but should be separately stated and numbered; and two or more complainants may join in one complaint if their respective causes of complaint are against the defendant or defendants, and involve substantially the same purposes and subject, and a like state of facts. same (d) Orders to show cause. Whenever the Commission desires to institute a proceeding against any person under statutory or other authority, the Commission may commence such action by an order to show cause setting forth the grounds for such action. Said order will contain a statement of the particulars and matters concerning which the Commission is inquiring, which shall be deemed to be tentative and for the purpose of framing issues for consideration and decision by the Commission in the proceeding, and the order will require that the respondent named respond orally, or in writing (as provided in § 1.9 (c)), or both. [Order 141, 12 F.R. 8473, Dec. 19, 1947] § 1.7 Petitions. (a) General. Petitions for relief under any statute or other authority delegated to the Commission shall be in writing and under oath, shall state clearly and concisely the petitioner's grounds of interest in the subject matter, the facts relied upon, and the relief sought, and shall cite by appropriate reference the statutory provision or other authority relied upon for relief and shall conform to the requirements of §§ 1.15 and 1.16. (b) For issuance, amendment, waiver, or repeal of rules. A petition for the issuance, amendment, waiver, or repeal of a rule by the Commission shall set forth clearly and concisely petitioner's interest in the subject matter, the specific rule, amendment, waiver, or repeal requested, and cite by appropriate reference the statutory provision or other authority therefor. If a rate filing is accompanied by a request for waiver pursuant to this section the thirty-day notice period provided in section 4(d) of the Natural Gas Act and section 205(d) of the Federal Power Act shall begin to run if and when the Commission grants the request. Such petition shall set forth the purpose of, and the facts claimed to constitute the grounds requiring, such rule, amendment, waiver, or repeal, and shall conform to the requirements of §§ 1.15 and 1.16. Petitions for the issuance or amendment of a rule shall incorporate the proposed rule or amendment. (c) For declaratory orders. Petitions for the issuance, in the discretion of the Commission, of a declaratory order to terminate a controversy or remove uncertainty, shall state clearly and concisely the controversy or uncertainty which is the subject of the petition, shall cite the statutory provision or other authority involved, shall include a complete statement of the facts and grounds prompting the petition, together with a full disclosure of petitioner's interest, and shall conform to the requirements of §§ 1.15 and 1.16. (d) Appeals from actions of the staff. Actions taken pursuant to authority delegated by the Commission may be appealed to the Commission by filing a petition within ten days after such action. Answers to such petitions may be filed by any party or staff counsel within 10 days after the date of service thereof, Such petitions or answers shall conform to the requirements of §§ 1.15 through 11 1.17. ulate rates and charges for the sale of electric energy, or natural gas, as the case may be, to consumers within the intervening State or municipality. (2) By order of the Commission upon petition to intervene. (b) Who may petition. A petition to intervene may be filed by any person claiming a right to intervene or an interest of such nature that intervention is necessary or appropriate to the administration of the statute under which the proceeding is brought. Such right or interest may be: (1) A right conferred by statute of the United States; (2) An interest which may be directly affected and which is not adequately represented by existing parties and as to which petitioners may be bound by the Commission's action in the proceeding (the following may have such an interest: consumers served by the applicant, defendant, or respondent; holders of securities of the applicant, defendant, or respondent; and competitors of the applicant, defendant, or respondent). (3) Any other interest of such nature that petitioner's participation may be in the public interest. (c) Form and contents of petitions. Petitions to intervene shall set out clearly and concisely the facts from which the nature of the petitioner's alleged right or interest can be determined, the grounds of the proposed intervention, and the position of the petitioner in the proceeding, so as fully and completely to advise the parties and the Commission as to the specific issues of fact or law to be raised or controverted, by admitting, denying or otherwise answering, specifically and in detail, each material allegation of fact or law asserted in the proceeding, and citing by appropriate reference the statutory provisions or other authority relied on: Provided, That where the purpose of the proposed intervention is to obtain an allocation of natural gas for sale and distribution by a person or municipality engaged or legally authorized to engage in the local distribution of natural or artificial gas to the public, the petition shall comply with the requirements of Part 156 of this chapter (i.e., Regulations Under the Natural Gas Act). Such petitions shall in other respects comply with the requirements of §§ 1.15 to 1.17, inclusive. (d) Filing and service of petitions. Petitions to intervene and notices of intervention may be filed at any time following the filing of a notice of rate or tariff change, or of an application, petition, complaint, or other document seeking Commission action, but in no event later than the date fixed for the filing of petitions to intervene in any order or notice with respect to the proceedings issued by the Commission or its Secretary, unless, in extraordinary circumstances for good cause shown, the Commission authorizes a late filing. Service shall be made as provided in § 1.17. Where a person has been permitted to intervene notwithstanding his failure to file his petition within the time prescribed in this paragraph, the Commission or officer designated to preside may, where the circumstances warrant, permit the waiver of the requirements of § 1.26(c) (5) with respect to copies of exhibits for such intervener. (e) Answers to petitions. Any party to the proceeding or staff counsel may file an answer to a petition to intervene, and in default thereof, may be deemed to have waived any objection to the granting of such petition. If made, answers shall be filed within 10 days after the date of service of the petition, but not later than 5 days prior to the date set for the commencement of the hearing, if any, unless for cause the Commission with or without motion shall prescribe a different time. They shall in all other respects conform to the requirements of §§ 1.15 to 1.17, inclusive. (f) Notice and action on petitions(1) Notice and service. Petitions to intervene, when tendered to the Commission for filing, shall show service thereof upon all participants to the proceeding in conformity with § 1.17(b). (2) Action on petitions. As soon as practicable after the expiration of the time for filing answers to such petitions or default thereof, as provided in paragraph (e) of this section, the Commission will grant or deny such petition in whole or in part or may, if found to be appropriate, authorize limited participation. No petitions to intervene may be filed or will be acted upon during a hearing unless permitted by the Commission after opportunity for all parties to object thereto. Only to avoid detriment to the public interest will any presiding officer tentatively permit participation in a hearing in advance of, and |