502.290 Rights of witness. 502.291

Nonpublic proceedings.

AUTHORITY: The provisions of this Part 502 issued under sec. 204(b), Merchant Marine Act, 1936, 49 Stat. 1987, 46 U.S.C., 1114 (b); secs. 3, 12, Administrative Procedure Act, 60 Stat. 238, 244, 5 U.S.C. Sup. 1002, 1011, and sec. 43 of the Shipping Act, 1916 (75 Stat. 766, 46 U.S.C. 841 (a)).

SOURCE: The provisions of this Part 502 contained in General Order 16, 30 F.R. 13604, Oct. 26, 1965, unless otherwise noted.

Subpart A-General Information (Rule 1)

§ 502.1

Scope of rules in this part.

The rules in this part govern procedure before the Federal Maritime Commission, hereinafter referred to as the "Commission," under the Shipping Act, 1916, Merchant Marine Act, 1920, Intercoastal Shipping Act, 1933, Merchant Marine Act, 1936, Administrative Procedure Act, and related acts, except that Subpart R (Rule 18) of this part does not apply to proceedings subject to sections 7 and 8 of the Administrative Procedure Act, which are to be governed only by Subparts A to Q (Rules 1 to 17) inclusive, of this part. They shall be construed to secure the just, speedy, and inexpensive determination of every proceeding. [Rule 1(a).]

§ 502.2

Mailing address; hours.

Documents required to be filed in, and correspondence relating to, proceedings governed by the rules in this part should be addressed to "Federal Maritime Commission, Washington, D.C., 20573." The hours of the Commission are from 8:30 a.m. to 5 p.m., Monday to Friday, inclusive, unless otherwise provided by statute or executive order. [Rule 1(b).]

§ 502.3 Compliance with rules or orders of Commission.

Persons named in a rule or order shall notify the Commission during business hours on or before the day on which such rule or order becomes effective whether

§ 502.5

Inspection of records.

The following files and records of the Commission, except those held by the Commission for good cause to be confidential, shall be open for inspection and copying:

(a) Tariffs and agreements filed with the Commission pursuant to statute or rule or order of the Commission may be inspected and copied during business hours in the Commission's offices at Washington.

(b) All pleadings, depositions, exhibits, transcripts of testimony, exceptions, and briefs in any proceeding before the Commission may be inspected and copied at the Washington office of the Commission, subject to § 502.167 (Rule 10(aa)). Available volumes of Federal Maritime Commission reports may be purchased from the Superintendent of Documents, Government Printing Office, Washington, D.C., 20402. Copies of individual decisions may be secured from the Commission upon request, or may be examined in the regional offices of the Commission.

(c) Orders, rules, rulings, opinions, and decisions (initial, recommended, tentative, and final) may be inspected at the Washington office of the Commission, except those held by the Commission for good cause to be confidential and not cited as precedents. [Rule 1(e).] § 502.6

Fees and charges for special services.

(a) Policy and services available. Pursuant to policies established by the Congress, the Government's costs for special services furnished to individuals or firms who request such service are to be recovered by the payment of fees (Act of August 31, 1951-5 U.S.C. 140). Upon written request directed to and within the discretion of the Federal

(4) Subscriptions to publications of the Commission.

(5) Transcripts of hearings.

(b) Payment of fees and charges. The fees charged for special services may be paid by check, draft, or postal money order, payable to the Federal Maritime Commission, except for charges for transcript of hearings. Fees for transcript of hearings are payable to the firm providing the services.

(c) Fees for services. The basic fees set forth below provide for documents to be mailed with ordinary first-class postage prepaid. If copy is to be transmitted by registered, certified, air or special delivery mail, postage therefor will be added to the basic fee. Also, if special handling or packaging is required, costs thereof will be added to the basic fee.

(1) The copying of records and documents will be available at the rate of 25 cents per page (one side) by the Xerox process, limited to size 84" x 14" or smaller.

(2) The certification and validation (with Federal Maritime Commission seal) of documents filed with or issued by the Commission will be available at $1.00 for each such certification.

(3) To the extent that time can be made available, records and information search will be performed for reimbursement at the following rates:

(i) By clerical personnel at a rate of $4.00 per person per hour.

(ii) By professional personnel at an actual hourly cost basis to be established prior to search.

(iii) Minimum charge, $2.00.

(4) Annual subscriptions to Commission publications for which there are regular mailing lists are available at the charges indicated below. Subscriptions will be available effective January 1, 1965, for a one-year term, and for calendar year terms thereafter. Subscriptions for periods of less than a full calendar year will be prorated on a quarterly basis. No provision is made for refund upon cancellation of subscription by a purchaser.

(i) Orders, notices, rulings, and decisions (initial and final) issued by hearing examiners and by the Commission in all formal docketed proceedings before the Federal Maritime Commission are available at an annual subscription rate of $30.00.

(ii) Final decisions (only) issued by ||||| the Commission in all formal docketed proceedings before the Commission are available at an annual subscription rate of $10.00.

(iii) General Orders of the Commission, including all proposed and final rules, are available at an annual subscription rate of $2.00 (initial annua! subscription will entitle the purchaser to a complete set of current General Orders issued to date).

(iv) Exceptions: No charge will be made by the Commission for notices, decisions, orders, etc., required by law to be served on a party to any proceeding or matter before the Commission. No charge will be made for single copies of Commission publications individually requested, in person or by mail.

In addi

tion a subscription to Commission mailing lists will be entered without charge when one of the following conditions is present:

(a) The furnishing of the service without charge is an appropriate courtesy to a foreign country or international organization.

(b) The recipient is another governmental agency, Federal, State, or local. concerned with the domestic or foreign commerce by water of the United States or, having a legitimate interest in the proceedings and activities of the Commission.

(c) The recipient is a college or university.

(d) The recipient does not fall into (a), (b), or (c) of this subdivision, but is determined by the Commission to be appropriate in the interest of its program.

(5) Transcripts of testimony and of oral argument are furnished by a nongovernmental contractor, and may be purchased directly from the reporting firm. [Rule 1 (f).]

§ 502.7 Documents in foreign languages.

Every document, exhibit, or other paper written in a language other than English and filed with the Commission or offered in evidence in any proceeding before the Commission under the rules in this part or in response to any rule

or order of the Commission pursuant to the rules in this part, shall be filed or offered in the language in which it is written and shall be accompanied by an English translation thereof duly verified under oath to be an accurate translation. [Rule 1(g).]

§ 502.8 Denial of applications and notice thereof.

Except in affirming a prior denial or where the denial is self-explanatory, prompt written notice will be given of the denial in whole or in part of any written application, petition, or other request made in connection with any proceeding under the rules in this part, such notice to be accompanied by a simple statement of procedural or other grounds for the denial, and of any other or further administrative remedies or recourse applicant may have where the denial is based on procedural grounds. [Rule 1(h).] Suspension, amendment, etc., of rules in this part.

§ 502.9

The rules in this part may, from time to time, be suspended, amended, or revoked, in whole or in part. Notice of any such action will be published in the FEDERAL REGISTER. [Rule 1(i).]

§ 502.10 Waiver of rules in this part.

Except to the extent that such waiver would be inconsistent with any statute, any of the rules in this part, except § 502.153 (Rule 10(m)), may be waived by the Commission or the presiding officer in any particular case to prevent undue hardship, manifest injustice, or if the expeditious conduct of business so requires. [Rule 1(j).]

Subpart B-Appearances and Practice Before the Commission (Rule 2)

§ 502.21 Appearance.

(a) Parties. A party may appear in person or by an officer, partner, or regular employee of the party, or by or with counsel or other duly qualified representative, in any proceeding under the rules in this part. Any party or his representative may testify, produce and examine witnesses, and be heard upon brief and at oral argument if oral argument is granted.

(b) Persons not parties. One who appears in person before the Commission or a representative thereof, either by compulsion from, or request or permission of the Commission, shall be accorded the right to be accompanied, represented, and advised by counsel. [Rule 2(a).]

§ 502.22 Authority for representation.

Any individual acting in a representative capacity in any proceeding before the Commission may be required to show his authority to act in such capacity. [Rule 2(b).]

§ 502.23 Notice of appearance; written appearances; substitutions.

Within twenty (20) days after service of an Order of Investigation, respondents shall notify the Commission of the name and address of the person or persons who will represent them in the pending investigation. Persons who appear at any hearing shall deliver a written notation of appearance to the reporter, stating for whom the appearance is made. All appearances shall be noted in the record. Petitions to Intervene shall indicate the name and address of the person or persons who will represent the intervener in the pending investigation if the Petition to Intervene is granted. If an attorney or other representative of record is superseded, there shall be filed a stipulation of substitution signed by both attorneys or representatives and by the party, or a written notice from the client to the Commission. [Rule 2(c).]

§ 502.24 Practice before the Commission defined.

Practice before the Commission shall be deemed to comprehend all matters connected with the presentation of any matter to the Commission, including the preparation and filing of necessary documents, and correspondence with and communications to the Commission. The term "Commission" as used herein includes any division, office, branch, section, unit, or field office of the Federal Maritime Commission and any officer or employee of such division, office, branch, section, unit, or field office. [Rule 2(d).] § 502.25 Presiding officer defined.

"Presiding officer" means and shall inIclude (a) any one or more of the members of the Commission (not including the Commission when sitting as such), (b) one or more hearing examiners, or (c) one or more other officers authorized by the Commission to conduct nonadjudicatory proceedings when duly designated to preside at such proceedings. [Rule 2(e).]

§ 502.26 Attorneys at law.

Attorneys at law who are admitted to practice before the Federal courts or before the courts of any State or Territory

of the United States may practice before the Commission. An attorney's own representation that he is such in good standing before any of the courts herein referred to will be sufficient proof thereof, if made in writing and filed with the Secretary. [Rule 2(f).]

§ 502.27

Persons not attorneys at law.

Any person who is not an attorney at law may be admitted to practice before the Commission if he is a citizen of the United States and files proof to the satisfaction of the Commission that he possesses the necessary legal, technical, or other qualifications to enable him to render valuable service before the Commission and is otherwise competent to advise and assist in the presentation of matters before the Commission. Applications by persons not attorneys at law for admission to practice before the Commission shall be made on the forms prescribed therefor, which may be obtained from the Secretary of the Commission, and shall be addressed to the Federal Maritime Commission, Washington, D.C., 20573. No person who is not an attorney at law and whose application has not been approved shall be permitted to practice before the Commission. This provision and the provisions of §§ 502.28 (Rule 2(h)), 502.29 (Rule 2(1)), and 502.30 (Rule 2(j)), shall not apply, however, to any person who appears before the Commission on his own behalf or on behalf of any corporation, partnership, or association of which he is a partner, officer, or regular employee. [Rule 2(g).]

§ 502.28 Firms and corporations.

Practice before the Commission by firms or corporations on behalf of others shall not be permitted. [Rule 2(h).] § 502.29 Hearings.

The Commission in its discretion may call upon the applicant for a full statement of the nature and extent of his qualifications. If the Commission is not satisfied as to the sufficiency of the applicant's qualifications, it will so notify him by registered mail, whereupon he shall be granted a hearing upon request for the purpose of showing his qualifications. If he presents to the Commission no request for such hearing within twenty (20) days after receiving the notification above referred to, his application shall be acted upon without further notice. [Rule 2(1).]

§ 502.30

Suspension or disbarment.

The Commission may, deny admission to, suspend, or disbar any person from practice before the Commission who it finds does not possess the requisite qualifications to represent others or is lacking in character, integrity, or proper professional conduct. Any person who has been admitted to practice before the Commission may be disbarred from such practice only after he is afforded an opportunity to be heard. [Rule 2(j).] § 502.31 Statement of interest.

The Commission may call upon any practitioner for a full statement of the nature and extent of his interest in the subject matter presented by him before the Commission. [Rule 2(k).]

§ 502.32 Former employees.

(a) Practice prohibited. No person shall practice, appear, or represent anyone before the Commission in any matter to which he, as member, officer, or employee of the Commission, or as officer or employee of the United States, gave personal consideration or as to the facts of which he gained knowledge during and by reason of his Government service.

(b) Further prohibitions with exceptions. No former member of the Commission shall practice, appear, or represent anyone before the Commission, or act as the employee of an attorney or agent, in any matter which was pending before the Commission during the period of his membership on the Commission. No former officer or employee of the Commission shall practice, appear, or represent anyone before the Commission, or act as the employee of an attorney or agent, within two (2) years after the termination of his service with the Commission, in any matter which was pending before the Commission during the period of his employment by the Commission, unless he shall first obtain the written consent of the Commission. This consent will not be granted unless it appears that the applicant did not, as officer or employee of the United States, give personal consideration to the matter, to handle which consent is sought, or gain knowledge of the facts of said matter during and by reason of his Government service.

(c) Former employeees; affidavit. Such applicant shall be required to file an affidavit to the effect that he gave no personal consideration to such matter;

that he gained no knowledge of the tacts involved in such matter during and by reason of his Government service; that he is not associated with, and will not in such matter be associated with, any former member, officer, or employee of the Commission who has gained knowledge of the matter during and by reason of his Government service; and that his employment is not prohibited by any law of the United States or by the regulations of the Commission. The statements contained in such affidavit shall not be sufficient if disproved by an examination of the files and records of the case.

(d) Former employees; applications for consent. Applications for consent should be directed to the Commission, should state the former connection with the Commission of the applicant, and should identify the matter in which the applicant desires to appear. The applicant shall be promptly advised as to his privilege to appear in the particular matter, and the application, affidavit and consent, or refusal to consent, shall be filed by the Commission in its records relative thereto. Separate consents to appear must be obtained to appear in separate cases.

(e) Assistance to or by former employeees. No one entitled to practice before the Commission shall knowingly (1) assist a person employed by a client to represent him before the Commission in connection with any matter to which such person as a member, officer or employee of the Commission or as an officer or employee of the United States, gave personal consideration or as to the facts of which such person gained personal knowledge during and by reason of his Government service, or (2) accept assistance from any such person in connection with any such matter, or (3) share fees with any such person in connection with such matter. [Rule 2(1).]

Subpart C-Parties (Rule 3) § 502.41 Parties; how designated.

The term "party," whenever used in the rules in this part, shall include any natural person, corporation, association, firm, partnership, trustee, receiver, agency, public or private organization, or governmental agency. A party who seeks relief or other affirmative action under § 502.62 (Rule 5(b)) and/or § 502.67 (Rule 5(g)) shall be designated as "complainant." A party against whom relief or other affirmative action is sought in any proceeding commenced under

§§ 502.62 (Rule 5 (b)), 502.66 (Rule 5(f)), or 502.67 (Rule 5(g)), or a party named in an order of investigation issued by the Commission, shall be designated as "respondent." A person who has been permitted to intervene under § 502.72 (Rule 5(1)) shall be designated as "intervener." A party who files a petition under §§ 502.51 (Rule 4(a)), 502.68 (Rule 5(h)), or 502.69 (Rule 5 (i)), or a petition seeking relief not otherwise designated herein shall be designated as "petitioner." All persons or parties designated in this section shall become parties to the proceeding involved without further pleadings, and no person other than a party or his representative may introduce evidence or examine witnesses at hearings. [Rule 3(a).]

§ 502.42 Hearing Counsel.

The Director, Office of Hearing Counsel shall be a party to all proceedings governed by the rules in this part, except that in complaint proceedings under § 502.62 (Rule 5(b)) he may become a party only upon leave to intervene granted pursuant to § 502.72 (Rule 5(1)). The Director or his representative shall be designated as "Hearing Counsel" and shall be served with copies of all papers, pleadings, and documents in every proceeding in which Hearing Counsel is a party. Hearing Counsel shall actively participate in any proceeding to which he is a party, to the extent required in the public interest, subject to the separation of functions required by section 5(c) of the Administrative Procedure Act. (See $502.224 (Rule 13(d).) [Rule 3 (b).]

§ 502.43 Substitution of parties.

In a proper case the Commission or presiding officer may order an appropriate substitution of parties. [Rule 3 (c).]

§ 502.44 Necessary and proper parties in certain complaint proceedings. If a complaint relates to through transportation by continuous carriage or transshipment, all carriers participating in such through transportation shall be joined as respondents. If the complaint relates to more than one carrier or other person subject to the shipping acts, all carriers or other persons against whom a rule or order is sought shall be made respondents. If complaint is made with respect to an agreement filed with the Commission under section 15 of the Shipping Act, 1916, or against a confer