49 CFR Part 1113 — Oral Hearing

PART 1113—ORAL HEARING Authority: 5 U.S.C. 559; 49 U.S.C. 1321. Source: 47 FR 49559, Nov. 1, 1982, unless otherwise noted. § 1113.1 Scheduling hearings; continued hearings. (a) Assignment; service and posting of notice. (b) Requests for changes in assignment. (c) Continuances. (2) If the presiding officer announces the time and place of a continued hearing on the record, no further notice need be given. [47 FR 49559, Nov. 1, 1982, as amended at 61 FR 52712, Oct. 8, 1996; 74 FR 52907, Oct. 15, 2009] § 1113.2 Subpoenas. (a) Issuance. (b) Requests. (2) A request for a subpoena to compel a witness to produce documentary evidence should be made in writing by petition. The petition should specify with particularity the books, papers, or documents desired and facts expected to be proved, and should show the general relevance and reasonable scope of the evidence sought. The officer presiding at a hearing may grant a request for such a subpoena made orally upon the record. (c) Service. (d) Return. (e) Witness fees. [47 FR 49559, Nov. 1, 1982, as amended at 61 FR 52712, Oct. 8, 1996; 74 FR 52907, Oct. 15, 2009; 81 FR 8854, Feb. 23, 2016; 91 FR 4854, Feb. 3, 2026] § 1113.3 Authority of officers. (a) General. (2) The presiding officer has the authority: (i) To terminate examination or cross-examination of repetitious or cumulative nature; (ii) to limit direct examination to material matters; (iii) to limit cross-examination to disputed material facts; (iv) to require that principal examination or cross-examination be conducted by one or more counsel representing similar interests in proceedings where several parties are involved; (v) to set reasonable schedules for the presentation of witnesses; (vi) and to set reasonable time limits for the examination or cross-examination of witnesses. In order to enforce this paragraph, the officer may require a clear statement on the record of the nature of the testimony to be given by any witness. (b) Motions to dismiss; amendments. (2) The presiding officer may grant leave to amend any application or complaint. (c) Preparation of the decision by the prevailing party. (1) On the record after the close of the taking of testimony and the hearing of arguments by the officer, or (2) By appropriate notification to the parties after the close of the hearing, may be made the subject of an initial decision prepared by a party or parties in whose favor the officer decides, within a period specified by the officer, and subject to such changes as the officer considers appropriate in the draft prepared for him. (d) Recording; media coverage. [47 FR 49559, Nov. 1, 1982, as amended at 61 FR 52712, Oct. 8, 1996; 81 FR 8854, Feb. 23, 2016] § 1113.4 Prehearing conferences. (a) Purposes. (1) The simplification of issues; (2) The necessity or desirability of amending the pleadings either for the purpose of clarification, amplification, or limitation; (3) The possibility of making admissions of certain averments of fact or stipulations concerning the use by any or all parties of matters of public record, such as annual reports and the like, to avoid the unnecessary introduction of proof; (4) The procedure at the hearing; (5) The limitation of the number of witnesses; (6) The propriety of prior mutual exchange between or among the parties of prepared testimony and exhibits; and (7) Such other matters, including disposition of requests for discovery, as may aid in the simplification of the evidence and disposition of the proceeding. Parties may request a prehearing conference. (b) Facts disclosed privileged. (c) Recordation and decision. (d) Objection to the decision; subsequent proceedings. [47 FR 49559, Nov. 1, 1982, as amended at 61 FR 52712, Oct. 8, 1996] § 1113.5 Stipulations. Apart from the procedure contemplated by the prehearing provisions, the parties may, by stipulation in writing filed with the Board at any stage of the proceeding, or orally made at the hearing, agree upon any pertinent facts in the proceeding. The parties should agree to facts in this manner whenever practicable. [47 FR 49559, Nov. 1, 1982, as amended at 61 FR 52712, Oct. 8, 1996] § 1113.6 Appearances; withdrawal or absence from hearing. (a) Who may appear. (b) Withdrawal or absence from hearing. [47 FR 49559, Nov. 1, 1982, as amended at 61 FR 52712, Oct. 8, 1996] § 1113.7 Intervention; petitions. (a) How requested. (b) Content generally. (c) When filed. (d) Broadening issues; filing. (e) Copies; service; replies. (f) Disposition. [47 FR 49559, Nov. 1, 1982, as amended at 53 FR 19301, May 27, 1988; 61 FR 52712, Oct. 8, 1996; 84 FR 12944, Apr. 3, 2019] § 1113.8 Witness examination; order of procedure. Witnesses will be orally examined under oath before the officer unless the facts are presented to the Board in the manner provided under modified procedure. In formal complaint, application, and investigation proceedings, complainant, applicant, and respondent, respectively, shall open and close at the hearing. In the event of further hearings granted on petition, the petitioners requesting further hearing shall open and close the proceeding. Instances exist in which parties other than the respondent may open and close in investigations where the burden of proof is not upon the respondent. Interveners shall follow the party on whose behalf the intervention is made. The foregoing order of presentation may be varied by the officer. [47 FR 49559, Nov. 1, 1982, as amended at 61 FR 52712, Oct. 8, 1996; 81 FR 8854, Feb. 23, 2016] § 1113.9 Prepared statements. With the approval of the officer, a witness may read into the record, as his testimony, statements of fact or expressions of opinion prepared by the witness, or written answers to interrogatories of counsel. A prepared statement of a witness who is present at the hearing may be received as an exhibit, provided that the statement does not include argument. Before any such statement is read or admitted in evidence, the witness shall deliver to the officer, the reporter, and to opposing counsel, as may be directed by the officer, a copy of such statement or of such interrogatories and the written answers thereto. The admissibility of the evidence contained in such statement will be subject to the same rules as if such testimony was produced orally, including the right of cross-examination of the witness. The officer may require that the witness testify orally if, in the officer's opinion, the memory or demeanor of the witness may be of importance. § 1113.10 Records in other Board proceedings. A portion of the record before the Board in another proceeding may be offered in evidence at an oral hearing. A party making such an offer must provide, as an exhibit, a certified copy of the material sought to be introduced. A hearing officer may waive the requirement that a copy be provided, subject to such conditions as he or she may impose to assure that a copy will be available later, if needed, at no expense to the Board and to assure that the interests of other parties are not prejudiced. An offer of evidence under this section will be subject to objection by other parties. [47 FR 49559, Nov. 1, 1982, as amended at 61 FR 52712, Oct. 8, 1996] § 1113.11 Abstracts of documents. When documents, such as freight bills or bills of lading, are numerous, the officer may refuse to receive all the documents in evidence and instead admit only a limited number of representative documents. He may instruct, if the proffer be for the purpose of proving damages, that introduction be deferred until there is opportunity to comply with § 1133.2. If the proffer be for another purpose the officer may require the party in orderly fashion to abstract the relevant data from the documents, affording other parties reasonable opportunity to examine both the documents and the abstract, and thereupon offer such abstract in evidence in exhibit form. [47 FR 49559, Nov. 1, 1982, as amended at 61 FR 52713, Oct. 8, 1996; 81 FR 8854, Feb. 23, 2016] § 1113.12 Exhibits. (a) Copies. (b) Interchange prior to hearing. (c) When excluded how treated. [47 FR 49559, Nov. 1, 1982, as amended at 53 FR 19301, May 27, 1988; 61 FR 52712, Oct. 8, 1996] § 1113.13 Filing evidence subsequent to hearing. Except as provided in this section or as expressly may be permitted in a particular instance, the Board will not receive in evidence or consider as part of the record any documents, letters, or other writings submitted for consideration in connection with any proceeding after close of the hearing, and may return any such documents to the sender. Before the close of a hearing the officer may, at the request of a party or upon his own motion, or upon agreement of the parties, require that a party furnish additional documentary evidence that supplements the existing record, within a stated period of time. Documentary evidence to be furnished in this way will be given an exhibit number at the time of filing and the parties advised accordingly. [47 FR 49559, Nov. 1, 1982, as amended at 53 FR 19301, May 27, 1988; 61 FR 52712, Oct. 8, 1996; 84 FR 12944, Apr. 3, 2019] § 1113.14 Objections to rulings. It is sufficient that a party, at the time the ruling is made or sought, make known to the officer on the record the action which he desires the officer to take or his objection to the action of the officer and his grounds for that objection. An objection not pressed in brief will be considered as waived. Where no brief is filed an objection will be considered as waived if not pressed in an appeal or reply to an appeal, if filed, or in a separate petition dealing only with that objection. § 1113.15 Interlocutory appeals. Rulings of the presiding officer may be appealed prior to service of the initial decision only if: (a) The ruling denies or terminates any person's participation, (b) The ruling grants a request for the inspection of documents not ordinarily available for public inspection, (c) The ruling overrules an objection based on privilege, the result of which ruling is to require the presentation of testimony or documents, or (d) The presiding officer finds that the ruling may result in substantial irreparable harm, substantial detriment to the public interest, or undue prejudice to a party. § 1113.16 Oral argument before the hearing officer. At the discretion of the hearing officer and upon reasonable notice to the parties, oral argument may be made at the close of testimony before him as an alternative to the filing of written briefs. Such argument, which should include requested findings and conclusions, will be recorded and made a part of the transcript of testimony, and will be available to the Board for consideration in deciding the case. The making of such argument will not preclude oral argument before the Board. [47 FR 49559, Nov. 1, 1982, as amended at 61 FR 52712, Oct. 8, 1996] § 1113.17 Transcript of record. (a) Filing. (b) Corrections. (c) Objections to corrections. (d) No free copies. [47 FR 49559, Nov. 1, 1982, as amended at 61 FR 52712, Oct. 8, 1996; 74 FR 52907, Oct. 15, 2009; 91 FR 4854, Feb. 3, 2026] § 1113.18 Briefs. (a) When filed. (b) Evidence abstract. (c) Requested findings. (d) Exhibit reproduction. [47 FR 49559, Nov. 1, 1982, as amended at 61 FR 52712, Oct. 8, 1996] § 1113.19 Pleadings: part of the record. Matters of fact that are verified and filed prior to oral hearing and that are not specifically denied constitute evidence and are part of the record. A witness, who would present such evidence, must be made available for cross-examination if a request is reasonably made. This rule does not apply to protests against tariffs or schedules. [47 FR 49559, Nov. 1, 1982, as amended at 64 FR 53268, Oct. 1, 1999] §§ 1113.20-1113.30 [Reserved]

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