Appendice 19. Key Elements of Rule

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APPENDIX 19

19-1

STAGE OF PROCEEDINGS KEY ELEMENTS OF RULE

Pleadings

Complaint (16 C.F.R. § 3.11) xCommission must affirmatively vote to issue complaint

xComplaint must include: (1) legal authority and jurisdiction; (2) statement of alleged

violation; (3) form of the order that would be issued if a violation were found, where

practical; (4) notice of date, time and place for evidentiary hearing

Answer (16 C.F.R. § 3.12) xFourteen days after service of Complaint

xAnswer must include: (1) concise statement of facts for each ground of defense;

(2) specific admission, denial or explanation of each fact alleged in Complaint

Intervention (16 C.F.R. § 3.14) xA party may intervene by filing a motion

xIf Complaint seeks divestiture relief, the labor organization representing employees may

intervene as a matter of right

Amendments and Supplemental Pleadings (16

C.F.R. § 3.15)

xAdministrative law judge (ALJ) may allow appropriate amendments to pleadings or

notice of hearing but only if reasonably within the scope of the original complaint or

notice

xALJ may permit service of supplemental pleadings or notice with reasonable notice

Stay Pending Resolution of Preliminary

Injunction Proceedings

Stay (16 C.F.R. § 3.41(f)) x“The pendency of a collateral federal court action that relates to the administrative

adjudication shall not stay the proceeding unless a court of competent jurisdiction, or the

Commission for good cause, so directs. A stay shall toll any deadlines set by the rules.”

Prehearing Procedures

Scheduling Conference (16 C.F.R. § 3.21); 16

C.F.R. § 3.31(a))

xMeeting of the parties no later than five days after Answer filed by last answering

respondent to discuss: (1) nature and basis of claims and defenses; (2) possibilities for

settlement; (3) proposed discovery plan; (4) estimate of time required for hearing

xScheduling conference no later than ten days after Answer filed by last answering

respondent to discuss: (1) factual and legal theories; (2) the current status of any pending

motions; (3) the schedule of proceedings; (4) steps taken to preserve relevant evidence;

(5) the proposed discovery plan; (6) issues that can be narrowed by agreement or by

motion; (7) possible ways to expedite the presentation of evidence at trial; (8) any

requests to bifurcate issues, claims, or defenses

xTwo days later ALJ must issue prehearing scheduling order with discovery plan, dates

for pre-hearing motions, the method by which exhibits should be numbered, and time and