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styled protestants, and the carriers whose schedules are under suspension are styled respondents. In valuation proceedings all parties given notice of a tentative valuation as provided in section 19a (h) of the Act, who shall have filed protests as therein provided, are styled protestants.
(i) Carriers as applicants. In applications for relief from or under any provisions of the Act the carriers by whom or in whose behalf the application is made are styled applicants.
(j) Petitioners. Others seeking relief are style petitioners.
(k) Interveners. Petitioners permitted to intervene as hereinafter provided are styled interveners.
(1) (1) Intervening petitions; who may make; contents. Anyone entitled under the Act to complain to the Commission, and, in valuation and finance cases (other than proceedings for the issuance of a certificate of convenience and necessity for the abandonment of a line of railroad or its operation), anyone having an interest therein, may petition for leave to intervene in any pending proceeding prior to or at the time it is called for hearing, but not after except for good cause shown. The petition must conform to the requirements of § 1.21 and set forth the grounds of the proposed intervention; the position and interest of the petitioner in the proceeding; and, if affirmative relief is sought, should conform to the requirements for a formal complaint, and must be subscribed and verified in the same manner as a formal complaint.
(2) Number of copies to be furnished. When the petition is filed prior or subsequent to the hearing the petitioner must furnish therewith a sufficient number of copies for service upon all parties to the proceeding and three additional copies for the use of the Commission. When not filed prior to but tendered at the hearing sufficient copies must be provided for distribution as motion papers to the parties represented at the hearing. If leave be granted at the hearing three additional copies must be furnished for the use of the Commission.
(3) Broadening issues. Leave will not be granted except on allegations reasonably pertinent to the issues already presented and which do not unduly broaden them. If the petitioner seeks a broadening of the issues upon a showing that they would not thereby be unduly broadened, and in respect thereof seeks affirmative relief, the petition should be filed in season to permit of service upon and answer by the parties before the hearing, thus making it possible in some instances to grant leave where otherwise it would be denied in fairness to the parties to the pending proceeding.
(4) Intervener becomes a party. If leave is granted the petitioner thereby becomes an intervener and a party to the proceeding. (5) Appearance by parties without intervention in investigations and abandonment proceedings. Appearances may be entered in investigation and suspension proceedings, in general investigations entered by the Commission, and in proceedings for the issuance of a certificate of convenience and necessity for the abandonment of a line of railroad or its operation, without applying for or receiving
leave to intervene. Those entering appearances thereby become parties to such proceedings.**
CROSS REFERENCE: For form of petition to intervene, see § 2.3.
1.3 Complaints-(a) Complaints either informal or formal. Complaints may be either informal or formal.
(b) Informal complaints. Informal complaints may be made by letter or other writing and as received are filed. Matters thus presented are, if their nature warrants it, taken up by correspondence with the carriers affected in an endeavor to bring about satisfaction of the complaint without formal hearing, and are given serial numbers on the informal docket. This informal procedure has been found efficacious in the great majority of cases and is recommended. (c) Substance of informal complaint. No form of informal complaint is prescribed, but in substance the letter or other writing must contain the essential elements of a complaint, including name and address of the complainant, the name of the carrier or carriers against which complaint is made, a statement that the Act has been violated by the carrier or carriers named, indicating when, where, and how, and a request for affirmative relief. It is desirable that the informal complaint be accompanied by copies in sufficient number to enable the Commission to transmit one to each carrier named, and it may be accompanied by supporting papers.
(d) Informal complainant may complain formally. A proceeding thus instituted on the informal docket is without prejudice to complainant's right to file and prosecute a formal complaint, whereupon the proceeding on the informal docket will be discontinued.
(e) Statute of limitations, requisites of informal complaints as to damages. Section 16 (3) of the Act provides that all complaints for the recovery of damages shall be filed with the Commission within the statutory periods there specified, and not after. A complaint for the recovery of damages may be informal, but must be filed within the statutory period, and, if informal, should contain, in addition to the matters above indicated, such data as will serve to identify with reasonable definiteness the shipments or other transportation services in respect of which recovery is sought, the carriers participating, the kind and amount of injury sustained, when and by whom, and, if any recovery is sought on behalf of others than complainant, a statement of the capacity or authority in or by which complaint is made in their behalf. Such a complaint must be subscribed and verified as is required in the case of formal complaints under paragraph (h) (2) of this section. Notification to the Commission that a complaint may or will be filed later for the recovery of damages is not a filing of complaint within the meaning of the statute.
(f) Special docket applications. Carriers willing to pay damages for violations of the Act should make application in the form prescribed by the Commission for authority to pay. Such applications will be filed on the special docket under serial number, and, if granted, orders to that effect will be entered on the special docket. Such application, when not made upon informal complaint, filed with the Commission, must be filed within the statutory period and
**For statutory and source citations, see note to § 1.1.
will be deemed the equivalent of an informal complaint and an answer thereto admitting the matters stated in the application. If a carrier is unable to file such application within the statutory period and the claim is not already protected from the operation of the statute by informal complaint, a statement setting forth the facts may be filed by the carrier within the statutory period. Such statement will be deemed the equivalent of an informal complaint filed on behalf of the shipper and sufficient to stay the operation of the
(g) Six months' rule for resubmission on informal or formal docket. If an informal complaint for recovery of damages cannot be disposed of informally, or is denied on the informal docket, or is by complainant withdrawn from further consideration, the parties affected will be so notified in writing by the Commission. In any such case the matter will not be reconsidered unless, within 6 months after the date of mailing such notice to complainant, it is resubmitted on the informal docket or formal complaint is filed. Such resubmission or filing will be deemed to relate back to the date of filing the informal complaint, but reference to that date and the Commission's file number covering the informal complaint must be made in such resubmission or in the formal complaint filed. If within such 6 months the matter is not so resubmitted or formal complaint filed, the complainant will be deemed to have abandoned the complaint, and no complaint for recovery of damages based on the same cause of action will thereafter be placed on file or considered unless itself filed within the statutory period.
(h) (1) Formal complaints, form and style. Formal complaints must conform to the requirements of § 1.21. The names of all parties complainant and defendant must be stated in full without abbreviations, and the address of each complainant, with the name and address of his attorney, if any, must appear.
(2) Subscription and verification of complaints required. Every formal complaint must be personally subscribed (i) by the complainant, or by one of the complainants if there be more than one, (ii) by an officer of the complainant if it be a corporation or other organization authorized to make complaint under the Interstate Commerce Act, or (iii) for the complainant, by an attorney or practitioner, duly authorized to practice before the Commission under § 1.1b, thereunto duly authorized. In addition, the facts alleged must be verified under oath by a complainant, an officer of complainant, or by the attorney or practitioner for complainant. If the subscription and verification or either thereof be by anyone other than the complainant or an officer thereof as aforesaid, the reason it is so made must be stated, and the power of attorney or authority authorizing such affiant to prosecute the complaint or make this verification must be filed with the complaint.
(3) Number of copies; service. Each formal complaint must be accompanied by copies in sufficient number to enable the Commission to serve one upon each defendant and retain three for its own use. The Commission will serve the complaint upon each defendant by leaving a copy with its designated agent in Washington, D. C., or,
if no such agent has been designated, by posting a copy in the office of the secretary of the Commission.
(i) (1) Statement of issues; joinder of causes of complaint. Complaints should be so drawn as fully and completely to advise the parties defendant and the Commission wherein the provisions of the Act have been or are violated by the acts or omissions complained of or will be violated by a continuance of such acts or omissions and should set forth briefly and in plain language the facts claimed to constitute such violation and the relief sought. Two or more grounds of complaint involving the same principle, subject, or state of facts may be included in one complaint, but should be separately stated and numbered.
(2) Tariff references. The several rates, fares, charges, classifications, regulations, or practices complained of should be set out by specific reference to the tariffs in which they appear whenever that is practicable.
(j) Violations of the several sections to be separately stated. In case violation of two or more sections of the Act is alleged, the facts claimed to constitute violation of one section should be stated separately from those in respect of any other section or sections wherever that can be done by reference or otherwise without undue repetition.
(k) Rates increased since January 1, 1910. In case violation of section 1 of the Act is alleged, the complaint should show whether the rates, fares, or charges assailed have been increased since January 1, 1910.
(1) Discrimination under section 2 to be specified. In case unjust discrimination in violation of section 2 of the Act is alleged, the special rate, rebate, drawback, or other device and the manner in which thereby the greater or less compensation complained of has been charged, collected, or received, should be specified.
(m) Preference or prejudice under section 3 to be specified. In case undue or unreasonable preference or advantage, or undue or unreasonable prejudice or disadvantage, in violation of section 3 of the Act is alleged, the particular person, company, firm, corporation, locality, or description of traffic affected thereby, and the particular preference or advantage, or prejudice or disadvantage, relied upon as constituting such violation, should be clearly specified.
(n) Complaints as to intrastate rates. If the complaint brings in issue any rate, fare, charge, classification, regulation, or practice, made or imposed by authority of any State or initiated by the President during the period of Federal control, as causing any undue or unreasonable advantage, preference, or prejudice as between persons or localities in intrastate commerce on the one hand and interstate or foreign commerce on the other hand, or any undue, unreasonable, or unjust discrimination against interstate or foreign commerce, which is forbidden and declared unlawful by section 13 of the Act, the complaint should also contain appropriate allegations to present for decision the issue of the justness and reasonableness under section 1 of the rates, fares, charges, classifications, regulations, or practices complained of insofar as applicable to interstate or
foreign commerce, and the issue as to what should be the rate, fare, or charge, or the maximum or minimum, or maximum and minimum thereafter to be charged, and the classification, regulation, or practice thereafter to be observed in order to remove such advantage, preference, prejudice, or discrimination. The facts should be stated with sufficient definiteness to disclose fully the contention made in respect of any tariff provision made or imposed by authority of any State or initiated by the President during the period of Federal control. The Commission, before proceeding to hear and dispose of such issue, must cause the State or States interested to be notified of the proceeding and must be furnished with copies of the complaint in sufficient number for that purpose.
(0) Violations of section 4, facts and tariff references to be specified. In case violation of section 4 of the Act is alleged, the facts as to compensation charged or received, the respects in which the section was thereby violated, and the tariff provisions applicable should be stated with particularity.
(p) Complaints asking damages, matters to be alleged. In case recovery of damages is sought the complaint should contain appropriate allegations showing, in addition to the matters indicated above, such data as will serve to identify with reasonable definiteness the shipments or other transportation services in respect of which recovery is sought, and stating (1) that complainant makes claim. for reparation, (2) the name of each individual claimant asking reparation, (3) the names of defendants against which claim is made, (4) the commodities transported, the rate applied, the date when the transportation charges were paid, by whom paid, and by whom borne, (5) the period of time within which or the specific dates upon which the shipments were made, and the dates when they were delivered or tendered for delivery, (6) the points of origin and destination, either specifically or, where they are numerous, by definite indication of defined territorial or rate group of the points of origin and destination, and, if known, the routes of movement, (7) the nature and amount of the injury sustained by each claimant, and (8) if any reparation is sought on behalf of others than the complainant, in what capacity or by what authority complaint is made in their behalf.
(q) Sufficiency to toll statute of limitations; damages pendente lite. The Commission will consider as in substantial compliance with the statute of limitations a complaint in which the complainant alleges that the matters complained of, if continued in the future, will constitute violations of the Act in the particulars and to the extent indicated, and prays reparation accordingly on all shipments affected thereby which may move during the pendency of the proceeding and on which the transportation charges shall be paid and borne by the complainant.
(r) Proof of damage when shipments or rates numerous. If a general rate adjustment is challenged in the complaint, or many shipments or points of origin and destination are involved, it is the practice of the Commission to find and determine in its report the issues as to violation of the Act, injury thereby to complainant, and