any rule, regulation, or order of the Commission, or any notice given thereunder, an act is required or allowed to be done at or within a specified time, the time fixed or the period of time prescribed may, by the Commission or the presiding officer, for good cause be extended upon motion made before expiration of four-fifths of the period originally prescribed or as previously extended; and upon motion made after the expiration of the specified period, the act may be permitted to be done where reasonable grounds are shown for the failure to act.

(e) Continuances. Except as otherwise provided by law the Commission may for good cause at any time, with or without motion, continue or adjourn any hearing. A hearing before the Commission or a presiding officer shall begin at the time and place fixed in an order or a notice, but thereafter may be adjourned from time to time or from place to place by the Commission or the presiding officer.

(f) Requests for continuance, time extensions. Except as otherwise provided by law, requests for continuance of hearings or for extensions of time in which to perform any act required or allowed to be done at or within a specified time by any rule, regulation, or order of the Commission, shall be by motion in writing, timely filed with the Commission, stating the facts on which the application rests, except that during the course of a hearing in a proceeding, such requests may be made by oral motion in the hearing before the Commission or the presiding officer. Written motions filed under this section shall conform to the requirements of §§ 1.12 and 1.15 to 1.17, inclusive.

[Order 141, 12 P.R. 8475, Dec. 19, 1947, amended by Order 364. 33 P.R 8811. June 18. 1968; Order 444-A, 39 FR 12731, Apr. 8, 1974] § 1.14 Filings; docket; hearing calendar.

(a) Filing with the Commission—(1) Defined. The fling of written applications, complaints, declarations, petitions, protests, answers, motions, briefs, exceptions, rate schedules, notices, reports, or other pleadings, amendments to pleadings, documents, or papers, with the Commission as required or allowed by these rules, by any rule, regulation, or order of the Commission, or by any applicable statute, shall be made by filing them with the Office of the Secretary of

the Commission in Washington, D.C. Any such papers must be received by the Commission in Washington, D.C., within the time limit, if any, for such filing.

(2) Acceptance for filing. There will be accepted for filing only such applications, pleadings, and other papers conform to the requirements of this Part, and any other applicable rule, regulation, or order of the Commission or applicable statute; applications, pleadings or other papers tendered for filing which, because of the particular rule, regulation, or requirement involved, patently fail so to conform will be considered defective and will be rejected unless accompanied by a request, pursuant to § 1.7(b), for waiver of, or exception to, any rule, regulation or requirement with which the document tendered is in conflict or does not conform. Such request shall show the nature of the waiver or exception desired and set forth the reasons in support thereof. Unacceptable filings may be returned by the Secretary with an indication of the deficiencies thereof and the reasons for nonacceptance and return. Acceptance for filing shall not waive any failure to comply with the rules and such failure may be cause for striking all or any part of such filings.

(b) Docket. The Records Officer shall maintain a docket of all proceedings, and each proceeding as initiated shall be assigned an appropriate designation. The docket shall be available for inspection and copying by the public during the office hours of the Commission insofar as consistent with the proper discharge of the Commission's duties.

(c) Hearing calendar. (1) The Secretary shall maintain a hearing calendar of all proceedings set for hearing.

(2) In the absence of cause requiring otherwise, and as time, the nature of the proceedings, and the proper execution of the Commission's functions permit, matters required to be determined upon the record after hearing or opportunity for hearing will be placed upon the hearing calendar. Proceedings pending upon this calendar will in their crder of assignment, so far as practicable, be heard at the times and places fixed by the Commission, its Secretary, or the officer designated to preside, giving due regard to the convenience and necessity of the parties or their attorneys; however, in its discretion with or without motion, the Commission or its Secretary, for cause

may at any time with due notice to the parties advance or postpone any proceeding on the hearing calendar.

[Order 141, 12 F.R. 8476, Dec. 19, 1947, as amended by Order 217, 24 F.R. 9471, Nov. 25, 1959; Order 248, 27 FR. 5606, June 13, 1962; Order 255, 27 F.R. 9499, Sept. 26, 1962]

§ 1.15 Formal requirements as to pleadings, documents and other papers filed in proceedings.

(a) Title. Pleadings, documents, or other papers filed with the Commission in any proceedings shall clearly show the docket designation and title of the proceeding before the Commission. They shall also show, in the title of the particular pleading or other document filed, the name of the person in whose behalf the filing is rade. If more than one person is involved, a single name only need wise required by the rules or regulations be included in the title.

(b) Copies. Except as may be otherof the Commission, or ordered or requested by the Commission, at the time pleadings, documents, or other papers other than correspondence, are filed with the Commission, there shall be furnished to the Commission an original and 19 conformed copies of such papers and exhibits, if any: Provided, however, When service is made by the parties, or service is not required to be made, only an original and 14 conformed copies need be filed. (See § 1.17(f) re service and § 1.26 (c) (5) re exhibits in hearings.)

(c) Form-(1) Typewritten. Pleadings, documents or other papers filed in proceedings if not printed, shall be typewritten on paper cut or folded to letter size, 8 to 81⁄2 inches wide by 10% to 11 inches long, with left-hand margin not less than 12 inches wide and other margins not less than 1 inch. The impression shall be on only one side of the paper, unless there are more than four pages, and shall be single spaced, except that quotations in excess of a few lines shall be indented. Mimeographed, multigraphed, hectographed, or planographed copies will be accepted as typewritten, provided all copies are clearly legible.

(2) Printed. If printed, they shall not be less than 10-point type on unglazed paper, cut or folded so as not to exceed 81⁄2 inches wide by 11 inches long, with inside margin not less than 1 inch wide, and with double-leaded text and singleleaded, indented quotations.

(d) Binding. Pleadings, documents, and other papers other than correspondence shall be bound at the left side only.

(e) Signature. Except as may be otherwise required by the rules or regulations of the Commission, or ordered of requested by the Commission, the original copy of each application, complaint, declaration, petition, protest, answer, motion, brief, exception, rate schedule, notice, report, statement and other pleading, amendment to pleading, document or paper, shall be signed in ink by the party in interest, or by his or its attorney, as required by these rules, and shall show the office and post office address of the same. All other copies filed shall be fully conformed thereto.

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

[Order 141, 12 FR 8476, Dec. 19, 1947, as amended by Order 189, 21 FR 5055, July 7, 1956; Order 321, 31 FR 5878, Apr. 16, 1966; Order 506, 39 FR 7419, Feb. 26, 1974]

§ 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 ex

ecuted 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, 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 addressed to each person designated on the official service list compiled by the Secretary in accordance with paragraph (c) of this section. When such service on any such person 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 (2) by leaving a copy thereof at the principal office or place of business of the person 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, intervening petitions, supplements or amendments thereto or to applications, complaints or petitions, motions, briefs, notices, testimony and exhibits, and all other papers, except depositions and protests, when filed or tendered to the Commission for filing in proceedings pending before the Commission upon its docket, shall certify service thereof upon each person designated on the official service list compiled by the Secretary in accordance with paragraph (c) of this section. Such service shall be made by delivering in person or by mail

23

ing, properly addressed with postage prepaid, one copy to each such person.

(c) Persons entitled to service. The initial document, pleading or communication filed by any person in any proceeding before the Commission shall specifically designate on the first page thereof the name and post office address of the persons upon whom service of pleadings, documents, or communications shall be made. If a participant is represented by an attorney or other qualified representative, the name and address of the representative may also be designated for service, but in no event shall a participant be entitled to receive service on more than two persons in any one proceeding. There shall be one official service list for each proceeding. It shall be compiled by the Secretary from the persons specifically designated in the initial pleading, document, or communication filed by each participant in that proceeding and shall include the Commission staff counsel participating in that proceeding. Any person filing a petition to intervene under § 1.8 shall be entitled to service until the Commission issues an order denying intervention to such person. If counsel or other qualified representative is changed, the participant shall designate the name and address of the substitute by serving written notice on the Commission and all persons on the service list. Copies of the official service list may be obtained from the Secretary.

(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 filed 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 287, 29 F.R. 13101, Sept. 19, 1964; Order 424, 36 FR. 3805, Feb. 27, 1971]

§ 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.

At such

(b) To expedite hearings. 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) Administrative law judge's authority at conference. The administrative law judge 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 administrative law judge 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 administrative law judge'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 FR. 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 interpreta

tive 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 Afteen (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 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 place of hearing, due regard will be given to the convenience and necessity of the parties or their attorneys so far as time and the proper execution of the Commission's functions permit.

(c) Publication of notice in the FEDERAL REGISTER shall be carried out with the following provisos:

(1) It shall be the responsibility of the Secretary to act on the behalf of the Commission as liaison with the Office of the Federal Register, National Archives and Records Service of the General Services Administration, to approve documents to be submitted for publication in the FEDERAL REGISTER, and to certify the necessary copies. The Office of Adminis