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ties, nor interested in the event of the proceedings":

(d) Procedure on examination. The deponent shall be examined under oath or affirmation and shall be subject to cross-examination. The testimony of the deponent shall be recorded by the officer or by some person under his direction and in his presence. In lieu of oral cross-examination, parties may transmit written cross-interrogatories to the officer prior to the examination and the officer shall propound such cross-interrogatories to the deponent.

The applicant must arrange for the examination of the witness either by oral examination or by written interrogatories. If it is found by the referee, upon the protest of a party to the proceeding, that such party has his residence and his place of business more than 100 miles from the place of the examination and that it would constitute an undue hardship upon such party to be represented at the examination, the applicant will be required to conduct the examination by means of interrogatories. When the examination is conducted by means of interrogatories, copies of the interrogatories shall be served upon the other parties to the proceeding at least five days prior to the date set for the examination, and the other parties shall be afforded an opportunity to file with the officer cross-interrogatories at any time prior to the time of the examination.

(e) Signature by witness. The transcript of the deposition shall be read to or by the deponent, unless such reading is waived by the parties and the deponent. Any changes which the deponent wishes to make shall be entered upon the deposition by the officer, with a statement of the reasons given by the deponent for such changes. The deposition shall be signed by the deponent unless the parties by stipulation waive such signing, or unless the deponent is ill or cannot be found or refuses to sign. If the deponent does not sign, the officer shall sign and shall state on the record the reason why the deponent did not sign. In such case the deposition shall be as valid as though signed by the de

ponent, unless the referee finds that the reason given by the deponent for his refusal to sign requires rejection of the deposition in whole or in part.

(f) Certification by officer. The officer shall certify on the deposition that the deponent was duly sworn by him and that the deposition is a true record of the deponent's testimony. He shall then securely seal the deposition, together with two copies thereof, in an envelope and mail the same by registered mail to the hearing clerk.

(g) Use of depositions. A deposition ordered and taken in accord with the provisions of this section may be used in a proceeding if the referee finds that the evidence is otherwise admissible and (1) that the witness is dead; or (2) that the witness is at a greater distance than 100 miles from the place of hearing, unless it appears that the absence of the witness was procured by the party offering the deposition; or (3) that the witness is unable to attend or testify because of age, sickness, infirmity, or imprisonment; or (4) that the party offering the deposition has endeavored but has been unable to procure the attendance of the witness by subpena; or (5), in any event, upon application and notice, that such exceptional circumstances exist as to make it desirable, in the interests of justice and with due regard to the importance of presenting the testimony orally before the referee, to allow the deposition to be used. If any part of a deposition is put in evidence by a party, any other party may require the production of the remainder, or any other portion, of the deposition. $ 0.63 Subpenas.

(a) Issuance of subpenas. The attendance of witnesses and the production of documentary evidence from any place in the United States on behalf of any party to the proceeding may, by subpena, be required at any designated place of hearing. Subpenas may be issued by the Commission or by the referee, upon a reasonable showing by the applicant of the grounds, necessity, and reasonable scope thereof.

(b) Application for subpena duces tecum. Subpenas for the production of documentary evidence, unless issued by the referee upon his own motion, shall be issued only upon verified written application. Such application shall specify,

8 Words in quotation marks from 24 Stat. 383, as amended; 49 U.S.C. 12, which is made applicable to proceedings under the Commodity Exchange Act by sec. 6(b) as amended (42 Stat. 1001, as amended; 7 U.S.C. 15).

as exactly as possible, the documents de- tation of the number of expert or other sired and shall show their competency, witnesses; and (e) such other matters as relevancy, and materiality and the neces- may expedite and aid in the disposition sity of their production.

of the proceeding. No transcript of such (c) Service of subpenas. Subpenas conference shall be made, but the referee may be served (1) by a United States shall prepare and file for the record a Marshal or his deputy, or (2) by any written summary of the action taken at other person who is not less than 18 years the co rence which shall incorporate of age, or (3) by registering and mail- any written stipulations or agreements ing a copy of the subpena addressed to made by the parties at the conference the person to be served at his or its last or as a result of the conference. If the known principal place of business or resi- circumstances are such that a conferdence. Proof of service may be made by ence is impracticable, the referee may the return of service on the subpena by request the parties to correspond with the United States Marshal or his deputy; him for the purpose of accomplishing any or, if served by an individual other than of the objects set forth in this section. a United States Marshal or his deputy, The referee shall forward copies of letby an affidavit of such person, stating ters and documents to the parties as the that he personally served a copy of the circumstances require. Correspondence subpena upon the person named therein; in such negotiations shall not be a part or, if service was by registered mail, by an of the record, but the referee shall subaffidavit made by the person mailing the mit a written summary for the record if subpena that it was mailed as provided any action is taken. herein and by the signed return post- $ 0.66 Referee's report. office receipt: Provided, That where the subpena is issued on behalf of the Com- (a) Filing the transcript of evidence. mission, the return receipt without an As soon as practicable after the close of affidavit of mailing shall be sufficient the hearing, the reporter shall transmit proof of service. In making personal to the hearing clerk the transcript of service, the person making service shall the testimony and the exhibits introleave a copy of the subpena with the duced in evidence at the hearing, except person subpenaed; the original, bearing such portions of the transcript and exor accompanied by the required proof of hibits as shall have been delivered to the service, shall be returned to the official referee. The hearing clerk will advise who issued the same.

each party to the proceeding as to the

date on which the transcript was filed. 8 0.64. Fees of witnesses.

(b) Proposed findings of fact, conWitnesses summoned before the ref- clusions, and orders. Within 10 days eree or before the Commission shall be after receipt of notice that the transcript paid the same fees and mileage that are has been filed, each party may file with paid witnesses in the courts of the United the hearing clerk proposed findings of States, and witnesses whose depositions fact, conclusions, and orders, based are taken, and the persons taking the solely upon the record, and a brief in same, shall be entitled to the same fees support thereof. as are paid for like services in the courts (c) Referee's report. The referee, of the United States. Fees shall be paid within a reasonable time after the terby the party at whose instance the wit- mination of the period allowed for the ness appears or the deposition is taken:

filing of proposed findings of fact, con8 0.65 Prehearing conferences.

clusions, and orders, and briefs in sup

port thereof, shall prepare, upon the In any proceeding in which it appears

basis of the record and shall file with that such procedure will expedite the the hearing clerk, his report, a copy of proceeding, the referee, at any time prior

which shall be served by the hearing to the commencement of the oral hear

clerk upon each of the parties. ing, may request the parties or their

(d) Exceptions. Within 20 days after counsel to appear at a conference before

receipt of the referee's report, the parties him to consider (a) the simplification

may file exceptions to the report. Any of issues; (b) the necessity or desira

party who desires to take exception to bility of amendments to pleadings; (c) any matter set out in the report shall the possibility of obtaining stipulations transmit his exceptions in writing to the of fact and of documents which will hearing clerk, referring to the relevant avoid unnecessary proof; (d) the limi- pages of the transcript and suggesting a corrected finding of fact, conclusion, of the facts. A copy of such document or order. Within the same period of shall be served promptly by the hearing time, each party shall transmit to the clerk upon the respondent. hearing clerk a brief statement in writ- (c) Respondent's answering statement. ing concerning each of the objections Within 20 days after receipt of the comtaken to the action of the referee at plainant's opening statement, the rethe hearing, as set out in $ 0.61, upon spondent may file with the hearing clerk, which the party wishes to rely, referring, in quintuplicate, in support of his anwhere relevant, to the pages of the tran- swer, an answering statement of the script. A party, if he files exceptions or facts. A copy of the answering statea statement of objections, shall state in ment shall be served promptly by the writing whether he desires to make an hearing clerk upon the complainant. oral argument thereon before the Com- (d) Complainant's statement in reply. mission; otherwise, he shall be deemed Within 10 days after receipt of the anto have waived such oral argument.

swering statement, the complainant may $ 0.67 Shortened procedure.

file with the hearing clerk, in quintupli

cate, a statement in reply, which shall (a) Consent of parties. Whenever it be confined strictly to replying to the appears to the referee who is assigned to

facts and arguments set forth in the ana proceeding that the proceeding can be swering statement. more expeditiously handled under the

(e) Contents of statements. As used informal procedure provided for in this

in this section, the term “statement” insection, he shall suggest to the parties

cludes (1) statements of fact signed and that they consent to the use of such pro

sworn to by persons having knowledge cedure. Except where oral hearing has

of those facts; (2) documents filed as a been waived by failure to request it in

part of the proof of the alleged facts proper time or otherwise, parties are free

(which documents shall be properly to consent to such procedure if they

identified by verified statements in the choose; declination of consent will not

statement filed or otherwise authentiaffect or prejudice the rights or inter

cated in such a manner that they would ests of any party. A party, if he has not

be admissible in evidence at an oral hearwaived oral hearing, may consent to the

ing under these rules of practice); and use of the shortened procedure on the (3) briefs containing argument to suscondition that the statements of fact be

tain the contentions of the party subsubmitted in the form of depositions

mitting the statement. When practicarather than affidavits. In such case, if ble, the documents which constitute the the other parties agree, depositions shall record of any transaction in dispute be required to be filed in lieu of affidavits.

should be made a part of the statement. If any party who has not waived oral

(f) Verification. Any facts stated in hearing does not consent to the use of the

the statement must be sworn to (before shortened procedure, the proceeding will

a person legally authorized to administer be set for oral hearing. The request that

oaths or before a person designated by the shortened procedure be used need the Secretary for the purpose) by a pernot originate with the referee; any party son who states in the affidavit that he may address a request to the referee ask

has actual knowledge of the facts. Exing that the shortened procedure be used. cept under unusual circumstances, which The referee, in his suggestion to the par- shall be set forth in the affidavit, any ties, will set a short period of time in such person shall be one who would apwhich the parties may indicate their con- pear as a witness if an oral hearing were sent to the shortened procedure; at the held. The original of each document end of that period, the referee will notify must show the signature, capacity, and the parties that the shortened procedure impression seal (if the officer is required will or will not be used. All requests, by law to have a seal) of the officer adsuggestions, and notices mentioned in ministering the oath and the date this section shall be filed with the hearing thereof. Copies must bear a notation clerk.

that the original shows the data required (b) Complainant's opening statement. in this respect. If a party elects to do Within 20 days after receipt of notice so, he may file his statement of facts in that the shortened procedure will be the form of depositions rather than affiused, the complainant shall file with the davits. Depositions filed under the hearing clerk, in quintuplicate, in support shortened procedure, whether filed as a of the complaint, an opening statement result of a requirement in the consent to

the shortened procedure on voluntarily, shall conform to the provisions set forth in $ 0.62.

(g) Stipulations. In addition to or in lieu of such statements, the parties may file with the hearing clerk stipulations of fact signed by the parties or their representatives. Such stipulations shall become a part of the record. The stipulations must be filed with the hearing clerk within 20 days after notice that the shortened procedure will be used; or, if the complainant's opening statement is filed, within 20 days after the filing of such statement; or, if an answering statement is filed, within 15 days after the filing thereof; or, if a statement in reply is filed, within 15 days after the filing thereof.

(h) Waiver of right to file. Failure to file, within the time prescribed, any statement or stipulation required or authorized under this section shall constitute a waiver of the right to file such statement or stipulation. In such case, the referee may prepare his report and the Commission may make the final determination upon the evidence contained in the record at the time of such failure to file, except that no determination, other than dismissal of the proceeding, shall be made if the complainant fails to file an opening statement of the facts.

(1) Referee's report under the shortened procedure. Except as otherwise may be directed by the referee, the filing of the complainant's statement in reply will conclude the presentation of evidence. The referee will thereupon file with the hearing clerk a notice that the parties may file proposed findings of fact, conclusions, and orders within 10 days after service of such notice. Upon the expiration of the period set for the filing of proposed findings, conclusions, and orders, the referee will prepare his report and the same procedure shall be followed thereafter as in proceedings where an oral hearing has been held.

(j) Assignment for oral hearing. At the request of any party or upon the referee's own motion, the proceeding shall be set for oral hearing at any stage of the proceeding prior to the filing of the referee's report: Provided, That, where the party making such request has waived oral hearing by failure to request it in proper time, as provided in $ 0.61(a), the assignment for oral hearing shall be in the discretion of the referee.

$ 0.68 Transmittal of record.

The hearing clerk, immediately following the period allowed for the filing of exceptions, shall transmit to the Commission the record of the proceeding. Such record shall include: the pleadings; motions and requests filed, and rulings thereon; the transcript of the testimony taken at the hearing, together with the exhibits filed therein; any statements filed under the shortened procedure; any documents or papers filed in connection with prehearing conferences; such proposed findings of fact, conclusions, and orders, and briefs in support thereof, as may have been filed in connection with the hearing; the referee's report; and such exceptions, statements of objections, and briefs in support thereof, as may have been filed in the proceeding. $ 0.69 Argument before Commission.

(a) Oral argument. Unless a party has included in his exceptions a request for oral argument or has filed a separate request for oral argument prior to the expiration of the last date for filing such exceptions, he shall be deemed to have waived his right to such oral argument.

(b) Briefs. The parties may file written briefs either in addition to oral argument or in lieu thereof.

(c) Scope of argument. Except where the Commission determines that argument on additional issues would be helpful, argument, whether oral or on brief, shall be limited to the issues raised by the exceptions and statement of objections. If the Commission determines that additional issues should be argued, counsel for the parties shall be given reasonable notice of such determination, so as to permit preparation of adequate argument on all the issues to be argued. $ 0.70 Preparation and issuance of

order. (a) Preparation of order. As soon as practicable after the receipt of the record from the hearing clerk, or, in the case oral argument was had, as soon as practical thereafter, the Commission, upon the basis of and after due consideration of the record, shall prepare its order in the proceeding which shall include findings, conclusions, order, and rulings on motions, exceptions, proposed findings, conclusions and orders submitted by the parties, not theretofore ruled upon. At no stage of the proceeding between its institution and the issuance of the order shall the Commission discuss ex parte the


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merits of the proceeding with any person order. Every such petition shall state who is connected with the proceeding in briefly the nature and purpose of the an advocative

an investigative evidence to be adduced, shall show that capacity, or with any representative of such evidence is not merely cumulative, such person: Provided, however, That the and shall set forth a good reason why Commission may discuss the merits of the such evidence was not adduced at the case with such a person if all parties to hearing. Every such petition shall be the proceeding, or their representatives, served by the hearing clerk on the other have been given an opportunity to be parties to the proceeding. present. Any memorandum or other (3) Petitions to rehear or reargue communication addressed to the Com- proceedings, or to reconsider orders. A mission, during the pendency of the pro- petition to rehear or reargue the proceeding, and relating to the merits there- ceeding or to reconsider the order must of, by, or on behalf of, any party shall be filed within 15 days after the date of be regarded as argument made in the the service of the order. Every such proceeding and shall be filled with the petition must state specifically the mathearing clerk, who shall serve a copy ters claimed to have been erroneously dethereof upon the opposite party to the cided and alleged errors must be briefly proceeding, and opportunity shall be stated. given the opposite party to file a reply (b) Procedure for disposition of petithereto.

tions. Within 20 days following the (b) Issuance of order. The order, pre- service of any petition provided for in pared as described in paragraph (a) of this section, the other party to the prothis section, shall be issued and served ceeding shall file with the hearing clerk upon the parties as the final order in an answer thereto. As soon as practicathe proceeding without further pro- ble thereafter, the Commission shall ancedure: Provided, That, if the terms of nounce the decision whether to grant or the order differ substantially from those to deny the petition. Unless the Comproposed in the report of the referee mission shall determine otherwise, operthe Commission may, if it deems it ad- ation of the order shall not be stayed visable to do so, direct that a copy of pending the decision whether to grant or the order be served upon the parties as to deny the petition. In the event that a tentative order; and, in such event, any such petition is granted by the Comopportunity shall be given the parties mission, the applicable rules of practice, to file exceptions thereto and written as set out elsewhere in this part, shall arguments or briefs in support of such be followed. A person filing a petition exceptions. In such case, if no excep

under this section shall be regarded as tions are filled within 20 days following the complainant, although he shall be the service of the tentative order, it shall referred to as the complainant or rebe issued and served as the final order in spondent, depending upon his designathe proceeding.

tion in the original proceeding.
$ 0.71 Applications for reopening hear- $ 0.72 Filing; service; extensions of

ings, for rehearings or rearguments time; additional time for filing; and
of proceedings, or for reconsidera- computation of time.
tion of orders.

(a.) Filing; number of copies. Except (a) Petition requisite—(1) Filing; as is provided otherwise in this subpart, service. An application for reopen- all documents or papers required or auing the hearing to take further evidence, thorized by the rules in this subpart to or for rehearing or reargument of the be filed with the hearing clerk shall be proceeding, or for reconsideration of the filed in quintuplicate: Provided, That, order must be made by petition to the where there are more than two parties Commission filed with the hearing clerk, to the proceeding, a sufficient number of who immediately shall notify and serve copies shall be filed so as to provide the a copy thereof upon the other party to service upon all the parties to the prothe proceeding. Every such petition ceeding. Any document or paper, remust state specifically the grounds relied quired or authorized under these rules upon,

to be filed with the hearing clerk, shall, (2) Petitions to reopen hearings. A during the course of an oral hearing, petition to reopen a hearing to take be filed with the referee. further evidence may be filed at any (b) Service; proof of service. Copies time prior to the issuance of the final of all such papers shall be served upon

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