§201.221. Prehearing conference.
17 C.F.R. § 201.221
Purposes of conference. The purposes of a prehearing conference include, but are not limited to:
Expediting the disposition of the proceeding;
Establishing early and continuing control of the proceeding by the hearing officer; and
Improving the quality of the hearing through more thorough preparation.
Procedure. On his or her own motion or at the request of a party, the hearing officer may, in his or her discretion, direct counsel or any party to meet for an initial, final or other prehearing conference. Such conferences may be held with or without the hearing officer present as the hearing officer deems appropriate. Where such a conference is held outside the presence of the hearing officer, the hearing officer shall be advised promptly by the parties of any agreements reached. Such conferences also may be held with one or more persons participating by telephone or other remote means.
Subjects to be discussed. At a prehearing conference consideration may be given and action taken with respect to any and all of the following:
Simplification and clarification of the issues;
Exchange of witness and exhibit lists and copies of exhibits;
Timing of expert witness disclosures and reports, if any;
Stipulations, admissions of fact, and stipulations concerning the contents, authenticity, or admissibility into evidence of documents;
Matters of which official notice may be taken;
The schedule for exchanging prehearing motions or briefs, if any;
The method of service for papers other than Commission orders;
The filing of any motion pursuant to § 201.250;
Settlement of any or all issues;
Determination of hearing dates;
Amendments to the order instituting proceedings or answers thereto;
Production, and timing for completion of the production, of documents as set forth in § 201.230, and prehearing production of documents in response to subpoenas duces tecum as set forth in § 201.232;
Specification of procedures as set forth in § 201.202;
Depositions to be conducted, if any, and date by which depositions shall be completed; and
Such other matters as may aid in the orderly and expeditious disposition of the proceeding.
Required prehearing conference. Except where the emergency nature of a proceeding would make a prehearing conference clearly inappropriate, at least one prehearing conference should be held.
Prehearing orders. At or following the conclusion of any conference held pursuant to this section, the hearing officer shall enter a ruling or order which recites the agreements reached and any procedural determinations made by the hearing officer.
Failure to appear: default. Any person who is named in an order instituting proceedings as a person against whom findings may be made or sanctions imposed and who fails to appear, in person or through a representative, at a prehearing conference of which he or she has been duly notified may be deemed in default pursuant to § 201.155(a). A party may make a motion to set aside a default pursuant to § 201.155(b).
Notes, amendments, and revision history
Amendments
[60 FR 32796, June 23, 1995, as amended at 63 FR 63405, Nov. 13, 1998; 81 FR 50234, July 29, 2016]
Authority
Authority: 15 U.S.C. 77f, 77g, 77h, 77h-1, 77j, 77s, 77u, 77sss, 78c(b), 78d-1, 78d-2, 78 l, 78m, 78n, 78 o (d), 78 o -3, 78 o -10(b)(6), 78s, 78u-2, 78u-3, 78v, 78w, 80a-8, 80a-9, 80a-37, 80a-38, 80a-39, 80a-40, 80a-41, 80a-44, 80b-3, 80b-9, 80b-11, 80b-12, 7202, 7215, and 7217.
Source
Source: 60 FR 32796, June 23, 1995, unless otherwise noted.
Authority
Authority: 15 U.S.C. 77s, 77sss, 78w, 78x, 80a-37, and 80b-11; 5 U.S.C. 504(c)(1). Sections 201.700 and 201.701 are also issued under sec. 916, Pub. L. 111-203, 124 Stat. 1376.
Source
Source: 47 FR 610, Jan. 6, 1982, unless otherwise noted.
Amendments
[60 FR 32796, June 23, 1995, as amended at 63 FR 63405, Nov. 13, 1998; 81 FR 50234, July 29, 2016]