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Special calls for information from futures commission merchants, foreign
brokers, and members of contract markets.
Orders of the Commodity Exchange Commission.
NOTE: Other regulations issued by the Department of Agriculture appear in Title 7, Title 9.
PART O-RULES OF PRACTICE
Before the Secretary of Agriculture
RULES APPLICABLE TO DISCIPLINARY
for rehearings or rearguments of pro-
RULES APPLICABLE TO ALL PROCEEDINGS 0.28 Hearings before the Secretary. Subpart B Rules Applicable to Proceedings
Before the Commodity Exchange Commission 0.50 Scope and applicability of rules of
practice. 0.51 Meaning of words. 0.52 Definitions. RULES APPLICABLE TO DISCIPLINARY
PROCEEDINGS 0.53 Institution of proceedings. 0.54 Stipulations and consent orders. 0.55 Complaints. 0.56 Docket number. 0.57 Referees. 0.58 Intervention. 0.59 The answer. 0.60 Motions and requests. 0.61
Oral hearing before referee. 0.62 Depositions. 0.63 Subpenas. 0.64 Fees of witnesses. 0.65 Prehearing conferences. 0.66 Referee's report. 0.67 Shortened procedure. 0.68 Transmittal of record. 0.69 Argument before Commission. 0.70 Preparation and issuance of order. 0.71 Applications for reopening hearings,
for rehearings or rearguments of proceedings, or for reconsideration of
orders. 0.72 Filing; service; extensions of time;
additional time for filing; and com
putation of time. RULES OF PRACTICE APPLICABLE TO RULE
MAKING PROCEEDINGS 0.73 Requests for promulgation, amend
ment, or rescission of regulations. 0.74 Status of persons requesting promul
gation, amendment, or rescission of
regulations. 0.75 Notice of hearing. 0.76 Conduct of hearing. 0.77 Preparation and issuance of order.
RULES APPLICABLE IN 6A PROCEEDING 0.78 Complaints. 0.79 Docket number. 0.80 Referees. 0.81 Intervention. 0.82 The answer. 0.83 Motions and requests. 0.84 Oral hearing before referee. 0.85 Depositions. 0.86 Subpenas. 0.87 Fees of witnesses. 0.88 Prehearing conferences. 0.89 Referee's report. 0.90 Shortened procedure. 0.91 Transpoittal of record.
Sec. 0.92 Argument before the Commission. 0.93 Preparation and issuance of order. 0.94 Applications for reopening hearings,
for rehearings or rearguments of proceedings, or for reconsideration of
orders. 0.95 Filing; service; extensions of time; ad
ditional time for filing; and compu
tation of time. RULES APPLICABLE TO ALL PROCEEDINGS 0.96 Hearings before the Commission.
SOURCE: The provisions of this part o appear at 13 FR. 7820, Dec. 18, 1948, unless otherwise noted. Subpart A-Rules Applicable to Pro
ceedings Before the Secretary of Agriculture AUTHORITY: The provisions of this Subpart A issued under sec. 8a, 49 Stat. 1500; 7 U.S.C. 12a. $ 0.0 Scope and applicability of rules of
practice. Sections 0.1-0.22, inclusive, shall apply to the conduct of all disciplinary proceedings as defined in g 0.2(j).
Sections 0.1, 0.2 and 0.23-0.27, inclusive, shall apply to the conduct of all rule-making proceedings as defined in $ 0.2(k). $ 0.1 Meaning of words.
Words in this subpart in the singular form shall be deemed to import the plural, and vice versa, as the case may demand. $ 0.2 Definitions.
As used in this subpart, the terms as defined in section 2 of the act shall apply with equal force and effect. In addition, and except as may be provided otherwise in this subpart:
(a) The term "act” means in Commodity Exchange Act, approved September 21, 1922 (42 Stat. 998); as amended June 15, 1936 (49 Stat. 1491; 7 U.S.C. 1–17a), and other legislation supplementary thereto and amendatory thereof;
(b) The term “Department" means the United States Department of Agriculture;
(c) The term “Secretary" means the Secretary of Agriculture or any person to whom authority has heretofore lawfully been delegated, or to whom authority may hereafter lawfully be delegated, to act in his stead;
(d) The term “Commodity Exchange Authority” means the Commodity Exchange Authority, United States Department of Agriculture;
(e) The term "FEDERAL REGISTER" means the publication provided for by the act of July 26, 1935, as amended (49 Stat. 500, as amended; 44 U.S.C.; and Sup., ch. 8B).
(f) The term “hearing" means that part of the proceeding which involves the submission of evidence and means either an oral or a written hearing;
(g) The term "party" includes the Secretary in those instances where he is named as a party of record in the proceeding;
(h) The term "complainant" means the party upon whose complaint the proceeding is instituted;
(i) The term “respondent” means the party proceeded against;
(j) The term “disciplinary proceeding” means any proceeding before the Secretary arising under the act, in which proceeding it is required by law that the order or other determination of the Secretary shall be made only after an opportunity for a hearing, and, if a hearing be held, only upon the basis of a record made in the course of such hearing;
(k) The term "rule-making proceeding" means any proceeding before the Secretary arising under section 5a (4) and (5) of the act;
(1) The term "hearing clerk” means the hearing clerk, United States Department of Agriculture, Washington 25, D.C.;
(m) The term "referee" means an examiner conducting a proceeding under the act;
(n) The term “referee's report” (presiding officer's report) means the referee's report to the Secretary, and includes the referee's proposed (1) findings of fact and conclusions with respect to all material issues of fact, law or discretion, as well as the reasons or basis therefor, (2) order, and (3) rulings on findings, conclusions and order submitted by the parties;
(0) The term “Act Administrator" means the Administrator of the Commodity Exchange Authority, United States Department of Agriculture, in his capacity as Administrator of the Commodity Exchange Act, or any officer or employee of the Commodity Exchange Authority to whom he has heretofore lawfully delegated or may hereafter lawfully delegate the authority to act in his stead;
(p) The term “examiner" means any examiner in the Office of Hearing Examiners, United States Department of Agriculture. RULES APPLICABLE TO DISCIPLINARY
PROCEEDINGS 8 0.3 Institution of proceedings.
(a) Application to institute proceeding. Any interested person having any information of any violation of the act, or of any of the regulations promulgated thereunder, by any person (other than a contract market) may file with the Act Administrator an application requesting the institution of such proceeding as is authorized under the act. Such application shall be in writing, signed by or on behalf of the applicant, and shall include a short and simple statement of the facts constituting the alleged violation and the name and address of the applicant and the name and address of the person against whom the applicant complains.
(b) Status of applicant. The person filing an application as described in paragraph (a) of this section shall have no legal status in the proceeding which may be instituted as a result of the application, except where the applicant may be permitted to intervene therein, in the manner provided in this subpart, or may be called as a witness, and the applicant's identity shall not be divulged by any employee of the Department, except with the applicant's prior consent or upon court order.
(c) Who may institute. If, after investigation of the matters complained of in the application described in paragraph (a) of this section, or after investigation made on his own motion, the Secretary “has reason to believe that any person (other than a contract market) is violating or has violated any of the provisions of the act, or any of the rules and regulations made pursuant to its requirements, or has manipulated or is attempting to manipulate the market price of any commodity, in interstate commerce, or for future delivery on or subject to the rules of any board of trade,
"1 he will institute a proceeding: Provided, That in any case, except one of wilfulness or one in which the public health, interest or safety otherwise requires, prior to the institution of a proceeding for the suspension or revocation
i Words in quotation marks from sec. 6 (b), 42 Stat. 1001, as amended; 7 U.S.C. 16.
of a registration or license, facts or conditions which may warrant such action shall be called, in writing, to the attention of the person complained against, and such person shall be accorded opportunity to demonstrate or achieve compliance with all lawful requirements. Proceedings will be instituted only upon complaints issued by the Secretary and will not be instituted upon pleadings filed by private persons. $ 0.4 Stipulations and consent orders.
(a) Stipulation of compliance. At any time prior to the issuance of the complaint in any proceeding, the Secretary, in his discretion, may enter into a stipulation with the prospective respondent, whereby the latter admits the material facts and agrees to aiscontinue the acts or practices which are intended to be set up as violative of the act. Such stipulations shall be admissible as evidence of such acts and practices in any subsequent proceeding against such person before the Secretary.
(b) Consent order. At any time after the issuance of the complaint and prior to the hearing in any proceeding, the Secretary, in his discretion, may allow the respondent to consent to an order. In so consenting, the respondent must submit, for filing in the record, a stipulation or statement in which he admits at least those facts necessary to the Secretary's jurisdiction and agrees that an order may be entered against him. Upon a record composed of the complaint and the stipulation or agreement consenting to the order, the Secretary may enter the order consented to by the respondent, which shall have the same force and effect as an order made after oral hearings. $ 0.5 Complaints.
(a) Filing and service. All complaints shall be filed with the hearing clerk. The provisions of $ 0.22 shall govern the filing, number of copies, and service of complaints.
(b) Contents. A complaint shall state briefly and clearly the allegations of fact which constitute a basis for the proceedings and shall specify with particularity the matters or things in issue. Complaints shall not include charges, implied charges, or requirments phrased generally in the words of the act, but the words of the act may be identified and quoted or used in preliminary recitals.
(c) Amendments. At any time prior to the close of the hearing, the complaint may be amended; but, in case of an amendment adding new provisions, the hearing shall, at the request of the respondent, be adjourned for a period not exceeding 15 days. Amendments subsequent to the first amendment or subsequent to the filing of an answer by the respondent may be made only with leave of the referee or with the written consent of the adverse party. $ 0.6 Docket number.
Each proceeding, immediately following its institution, shall be assigned a docket number by the hearing clerk, and thereafter the proceeding shall be referred to by such number. $ 0.7 Referees.
(a) Assignment. No referee shall be assigned to serve in any proceedings who (1) has any pecuniary interest in any matter or business involved in the proceeding, (2) is related within the third degree by blood or marriage to any party to the proceeding, or (3) has participated in the investigation preceding the institution of the proceeding or in the determination that it should be instituted or in the preparation of the complaint or in the development of the evidence to be introduced therein.
(d) Disqualification of referee. Any party may file with the hearing clerk a timely affidavit of disqualification of the referee which shall set forth with particularity the grounds of alleged disqualification. After such investigation or hearing as the Secretary may deem necessary, he may find the affidavit without merit or may direct that another referee be assigned to the proceeding. Where the affidavit is found without merit, the affidavit, any record made thereon, and the finding and order of the Secretary shall be made a part of the record.
A referee shall ask to be withdrawn from any proceeding in which he deems himself disqualified for any reason.
(c) Conduct. The referee shall conduct the proceeding in a fair and impartial manner and, save to the extent required for the disposition of ex parte matters as authorized by law, he shall not consult any person or party on any fact in issue unless upon notice and opportunity for all parties to participate.
(d) Powers of referee. Subject to review by the Secretary as provided else
where in this subpart, the referee, in any party of record, in the manner provided proceeding assigned to him, shall have in $ 0.22. power to:
(b) Contents; failure to file. Such (1) Rule upon motions and requests; answer shall (1) contain a statement of
(2) Set the time and place of hearing, the facts which constitute the grounds adjourn the hearing from time to time, of defense, and shall specifically admit, and change the time and place of hear- deny, or explain each of the allegations ing;
of the complaint unless the respondent is (3) Administer oaths and affirmations without knowledge, in which case the and take affidavits;
answer shall so state; or (2) state that (4) Issue subpenas requiring the at- the respondent admits all of the allegatendance and testimony of witnesses and tions of the complaint. The answer may the production of books, records, con- contain a waiver of hearing. tracts, papers, and other documentary Failure to file an answer to or plead evidence;
specifically to any allegation of the com(5) Summon and examine witnesses plaint shall constitute an admission of and receive evidence;
such allegation. (6) Take or order the taking of depo- (c) Procedure upon admission of facts. sitions;
The admission, in the answer or by fail(7) Admit or exclude evidence;
ure to file an answer, of all the material (8) Hear oral argument on facts or allegations of fact contained in the comlaw;
plaint shall constitute a waiver of hear(9) Do all acts and take all measures ing. Upon such admission of facts, the necessary for the maintenance of order referee, without further investigation or and efficient conduct of the proceeding. hearing, shall prepare his report, in
(e) who may act in the absence of the which he shall adopt as his proposed referee. In case of the absence of the findings of fact the material facts alleged referee, or his inability to act, the powers in the complaint. Unless the parties and duties to be performed by him under have waived service of the referee's rethis subpart in connection with a pro- port, it shall be served upon them in the ceeding may, without abatement of the manner provided in $ 0.22. The parties proceeding unless otherwise ordered by shall be given an opportunity to file exthe Secretary, be assigned to any other ceptions to the report, to file briefs in referee.
support of such exceptions, and to make
oral argument thereon before the Secre$ 0.8 Intervention.
tary. Any request to make oral arguAt any time after the institution of a ment before the Secretary must be filed proceeding, and before it has been sub- in the manner and within the time promitted to the Secretary for final con- vided in $ 0.16(d). sideration, the Secretary or the referee
$ 0.10 Motions and requests. may, upon petition in writing and for good cause shown, permit any person to
(a) General. All motions and requests intervene therein. The petition shall
shall be filed with the hearing clerk, exstate with preciseness and particularity: cept that those made during the course of (a) The petitioner's relationship to the an oral hearing may be filed with the matters involved in the proceeding, (b) referee or may be stated orally and made the nature of the material he intends to a part of the transcript. present in evidence, (c) the nature of The referee is authorized to rule upon the argument he intends to make, (d)
all motions and requests filed or made any other reason that he should be al- prior to the filing of his report with the lowed to intervene.
hearing clerk, as hereinafter provided.
The Secretary will rule upon all motions $ 0.9 The answer.
and requests filed after that time. (a) Filing and service. Within 20 (b) Motions entertained. Any motion days after service of the complaint, the will be entertained except a motion to respondent shall file, in triplicate, with dismiss on the pleadings. the hearing clerk, an answer, signed by The submission or certification of any the respondent or his attorney: Provided, motion, request, objection, or other quesThat the Secretary may order that the tion to the Secretary prior to the time hearing be held without answer or other when the referee's report is filed with the pleading. The answer shall be served hearing clerk shall be in the discretion upon the complainant, and any other of the referee.