Appendix I to Part 1025 - Suggested Form of Final Prehearing Order
16:2.0.1.1.15.8.1.4.1 : Appendix I
Appendix I to Part 1025 - Suggested Form of Final Prehearing Order
Case Caption
A final prehearing conference was held in this matter, pursuant
to Rule 21 of the Commission's Rules of Practice for Adjudicative
Proceedings (16 CFR 1025.21), on the ______ day of ______, 19__, at
__ o'clock, _ stm.
Counsel appeared as follows:
For the Commission staff:
For the Respondent(s):
Others:
1. Nature of Action and Jurisdiction. This is an action for
__________ and the jurisdiction of the Commission is invoked under
United States Code, Title______, Section ______ and under the Code
of Federal Regulations, Title ____, Section ____. The jurisdiction
of the Commission is (not) disputed. The question of jurisdiction
was decided as follows:
2. Stipulations and Statements. The following stipulation(s) and
statement(s) were submitted, attached to, and made a part of this
order:
(a) A comprehensive written stipulation or statement of all
uncontested facts;
(b) A concise summary of the ultimate facts as claimed by each
party. (Complaint Counsel must set forth the claimed facts,
specifically; for example, if a violation is claimed, Complaint
Counsel must assert specifically the acts of violation complained
of; each respondent must reply with equal clarity and detail.)
(c) Written stipulation(s) or statement(s) setting forth the
qualifications of the expert witnesses to be called by each
party;
(d) Written list(s) of the witnesses whom each party will
call, written list(s) of the additional witnesses whom each party
may call, and a statement of the subject matter on which
each witness will testify;
(e) An agreed statement of the contested issues of fact and of
law, or separate statements by each party of any contested issues
of fact and law not agreed to;
(f) A list of all depositions to be read into evidence and
statements of any objections thereto;
(g) A list and brief description of any charts, graphs, models,
schematic diagrams, and similar objects that will be used in
opening statements or closing arguments but will not be offered in
evidence. If any other such objects are to be used by any party,
those objects will be submitted to opposing counsel at least three
days prior to the hearing. If there is then any objection to their
use, the dispute will be submitted to the Presiding Officer at
least one day prior to the hearing;
(h) Written waivers of claims or defenses which have been
abandoned by the parties.
The foregoing were modified at the pretrial conference as
follows:
(To be completed at the conference itself. If none, recite “none”.)
3. Complaint Counsel's Evidence. 3.1 The following exhibits were
offered by Complaint Counsel, received in evidence, and marked as
follows:
(Identification number and brief description of each exhibit)
The authenticity of these exhibits has been stipulated.
3.2 The following exhibits were offered by Complaint Counsel and
marked for identification. There was reserved to the respondent(s)
(and party intervenors) the right to object to their receipt in
evidence on the grounds stated:
(Identification number and brief description of each exhibit. State
briefly ground of objection, e.g., competency, relevancy,
materiality)
4. Respondent's Evidence. 4.1 The following exhibits were
offered by the respondent(s), received in evidence, and marked as
herein indicated:
(Identification number and brief description of each exhibit)
The authenticity of these exhibits has been stipulated.
4.2 The following exhibits were offered by the respondent(s) and
marked for identification. There was reserved to Complaint Counsel
(and party intervenors) the right to object to their receipt in
evidence on the grounds stated:
(Identification number and brief description of each exhibit. State
briefly ground of objection, e.g., competency, relevancy,
materiality)
5. Party Intervenor's Evidence. 5.1 The following exhibits were
offered by the party intervenor(s), received in evidence, and
marked as herein indicated:
(Identification number and brief description of each exhibit)
The authenticity of these exhibits has been stipulated.
5.2 The following exhibits were offered by the party
intervenor(s) and marked for identification. There was reserved to
Complaint Counsel and respondent(s) the right to object to their
receipt in evidence on the grounds stated:
(Identification number and brief description of each exhibit. State
briefly ground of objection, e.g., competency, relevancy,
materiality) Note:
If any other exhibits are to be offered by any party, such
exhibits will be submitted to opposing counsel at least ten (10)
days prior to hearing, and a supplemental note of evidence filed
into this record.
6. Additional Actions. The following additional action(s) were
taken:
(Amendments to pleadings, agreements of the parties, disposition of
motions, separation of issues of liability and remedy, etc., if
necessary)
7. Limitations and Reservations. 7.1 Each of the parties has the
right to further supplement the list of witnesses not later than
ten (10) days prior to commencement of the hearing by furnishing
opposing counsel with the name and address of the witness and
general subject matter of his/her testimony and by filing a
supplement to this pretrial order. Thereafter, additional witnesses
may be added only after application to the Presiding Officer, for
good cause shown.
7.2 Rebuttal witnesses not listed in the exhibits to this order
may be called only if the necessity of their testimony could not
reasonably be foreseen ten (10) days prior to trial. If it appears
to counsel at any time before trial that such rebuttal witnesses
will be called, notice will immediately be given to opposing
counsel and the Presiding Officer.
7.3 The probable length of hearing is __ days. The hearing will
commence on the ______ day of ______, 19__, at __ o'clock _ m. at
____.
7.4 Prehearing briefs will be filed not later than 5:00 p.m. on
__________ (Insert date not later than ten (10) days prior to the
hearing.) All anticipated legal questions, including those relating
to the admissibility of evidence, must be covered by prehearing
briefs.
This prehearing order has been formulated after a conference at
which counsel for the respective parties appeared. Reasonable
opportunity has been afforded counsel for corrections or additions
prior to signing. It will control the course of the hearing, and it
may not be amended except by consent of the parties and the
Presiding Officer, or by order of the Presiding Officer to prevent
manifest injustice.
Presiding Officer. Dated: Approved as to Form and Substance Date:
Complaint Counsel. Attorney for Respondent(s) * Attorney for
Intervenors * Note:
Where intervenors appear pursuant to § 1025.17 of these Rules,
the prehearing order may be suitably modified; the initial page may
be modified to reflect the intervention.