APPENDIX I - FORMS
161
Appendix I
Form 1-a
Order Scheduling Prehearing Conference, With Instructions
UNITED STATES OF AMERICA
Agency
Washington, D.C.
[Name of Case]
Docket No.
ORDER PRIOR TO PREHEARING CONFERENCE
The prehearing conference in this preceding is scheduled for
[date]
, commencing at 9:00 A.M.
IT IS ORDERED, that prior to the conference
(1) The parties shall attempt to achieve a settlement and
shall report on their efforts at the conference, and
(2) Counsel are directed to explore the possibility of
stipulating to facts and procedural matters.
IT IS FURTHER ORDERED, that at the conference counsel shall
be prepared to discuss any relevant questions including:
Pending Motions or Pleadings
All questions relating to procedures governing the course of
this hearing. Counsel will disclose any plans to file additional
motions or pleadings and the relief to be sought.
Discovery
Discovery plans, procedures already started, current status,
probable completion date, and deadlines, subject to the following
guidelines:
(1) Discovery must be initiated no later than date
and
(2) Written interrogatories or depositions upon oral
examination may be used, but no both in the absence of unusual
circumstances.
APPENDIX I - FORMS
162
Exhibits
(1) The extent to which direct and rebuttal cases will be
submitted in writing.
(2) Dates for exchange of exhibits.
(3) Preparation and organization of exhibits, including
identification and numbering.
(4) The need for copies and the numbering of documents of
which official notice is requested.
Witness Notification
The date or dates on which each party will notify every
other party of those witnesses it desires to cross-examine and
the areas to be covered by such cross-examination.
Hearing Date and Place
The date and place of the hearing most convenient to the
parties.
[Date]
Administrative Law Judge
NOTE:
This order is adapted from a Federal Communications
Commission order.
APPENDIX I - FORMS
163
Order Scheduling Prehearing Conference
Form 1-b
UNITED STATES OF AMERICA
AGENCY
Washington, D.C.
[Name of Case]
Docket No.
PRESIDING ADMINISTRATIVE LAW JUDGE'S ORDER
CONVENING PREHEARING CONFERENCE
In accordance with the agency's order of [date]
, a
prehearing conference will be held at 10:00 A.M., [date]
,
in a hearing room at [place]
, Washington, D.C. The
parties are to be prepared to present discovery requests, to
identify all outstanding issues, to stipulate to all factual
matters not in dispute, and to propose a procedural schedule.
[Date]
Administrative Law Judge
NOTE:
This order is adapted from a Federal Energy Regulatory
Commission order.
APPENDIX I - FORMS
164
Form 1-c
Letter to Unrepresented Party Confirming Prehearing Conference
Agency/ALJ Address
Addressee Address
Dear
:
This is to confirm my telephone call setting up a prehearing
conference. As was indicated in our conversation, [I/the
Administrative Judge] believe[s] such a conference will help
expedite your case.
He/She has asked me to conduct the
conference with you.
The prehearing conference will be held on (Day of Week),
(Full Date), at (Time) o'clock in Room
of
Building, (Number and Street, City. State) .
You should bring to the conference (and) any
additional evidence you wish to submit.
The time of this Conference has been set aside especially
for you. If you are not able to attend at the scheduled timed or
if you decide that you do not wish to attend the conference,
please call me at once at (telephone number).
The purpose of this conference is (1) to clarify the factual
data and issues in your case (and)/, (2) to determine if
additional evidence is needed (./and ) . The
conference will be informal and no testimony will be taken.
Therefore you do not need to bring any witnesses with you.
If you have obtained, or are planning to obtain, an attorney
or other individual to represent you in your (claim)/case please
advise me at once.
Sincerely yours,
NOTE:
Adapted from Social Security Administration letter.
APPENDIX I - FORMS
165
Form 1-d
Letter to Representative Confirming Prehearing Conference
Agency/ALJ Address
Addressee Address
Dear
:
This is to confirm my telephone call setting up a prehearing
conference in the case of
. As was indicated in our
conversation, [I/the Administrative Judge] believe[s] such a
conference will help expedite your client's case.
[The
Administrative Law Judge has asked me to conduct the conference
with you.]
The prehearing conference will be held on (Day of Week),
(Full Date), at (Time) o'clock in Room
of
Building, (Number and Street, City. State) .
You should bring to the conference (and) any
additional evidence you wish to submit.
The time of this Conference has been set aside especially
for you. If you are not able to attend at the scheduled timed or
if you decide that you do not wish to attend the conference,
please call me at once at (telephone number) .
The purpose of this conference is (1) to clarify the factual
data and issues in your case (and)/, (2) to determine if
additional evidence is needed (./and ) . The
conference will be informal and no testimony will be taken.
Therefore you do not need to bring any witnesses with you.
You may wish to have your client accompany you to the
conference.
Sincerely yours,
cc. claimant or others
APPENDIX I - FORMS
166
NOTE:
Adapted from Social Security Administration letter.
APPENDIX I - FORMS
167
Appearance Sheet
Form 2
UNITED STATES OF AMERICA
AGENCY
Washington, D.C.
[Name of Case]
Docket No.
PLEASE PRINT OR
WRITE CLEARLY
Date
APPEARANCE SHEET
1.
Applicant
Prospective Applicant
Intervenor
Prospective Intervenor
2.
Person upon whom service is to be made (one person):
Full Name
Firm Name
Telephone:
Address
ZIP
Representing
3.
Persons in addition to (2) above whose appearances are to be
noted:
Full Name
Telephone:
Address
ZIP
Full Name
Telephone:
Address
ZIP
4.
Number of copies of exhibits, pleadings, and other communi-
cations to be sent to the person in (2) above:
copies
5.
Persons, in addition to (2) above, to whom exhibits,
pleadings, and other communications are to be sent. In
deference to each other and to minimize expenses, please
limit requests to copies actually needed. A mailing list
will be attached to the prehearing conference report.
Full Name
Copies
Address
ZIP
Full Name
Copies
Address
ZIP
Full Name
Copies
Address
ZIP
NOTE:
This appearance sheet is adapted from standard forms
used at the former Civil Aeronautics Board and at the
Federal Communications Commission.
APPENDIX I - FORMS
168
GROUND RULES
FORM 3
UNITED STATES OF AMERICA
Agency
Washington, D.C.
[Name of Case]
Docket No.
GROUND RULES
1.
Evidence. All evidence, including the testimony of
witnesses, shall be prepared in written exhibit form and shall be
served at dates designated by the Administrative Law Judge in
advance of the hearing. Evidence as to events occurring after
the exhibit exchange dates shall be presented by revision of
exhibits.
Unless sponsorship is waived, witnesses cognizant of the
exhibits shall be made available for cross-examination. Such
witnesses shall have available at the hearing the work papers
used in preparing their exhibits. Witnesses will not be
permitted to read prepared testimony into the record.
The evidentiary record shall be limited to factual material.
Argument will not be received in evidence but rather should be
presented in the briefs.
2.
Exhibits Generally. Information responses, exhibits,
and written testimony shall be exchanged on prescribed dates
prior to the hearing. Two copies shall be served upon the
Administrative Law Judge and copies shall be sent to the parties
in accordance with the attached mailing list. One of the
Administrative Law Judge's copies is to be tabbed.
The exhibits shall include appropriate footnotes or
narrative explaining the source of the information used and the
methods employed in statistical compilations and estimates.
Rebuttal exhibits shall refer specifically to the exhibits being
rebutted.
Each party shall submit, prior to the hearing, lists of (a)
its exhibits, appropriately indexed as to number and title, and
(b) the witnesses sponsoring particular exhibits.
Where one part of a multi-page exhibit is based upon another
part, appropriate cross-reference shall be made. For example, a
profit-and-loss forecast based on detailed estimates appearing on
APPENDIX I - FORMS
169
other pages should contain specific references showing which
pages support the different individual items of the forecast.
Such exhibits shall be arranged in an organized manner in
accordance with the party's theory of the case.
3.
Title of Exhibits. The principal title of each exhibit
should state precisely what it contains and may also contain a
statement of the purpose for which the exhibit is offered.
However, such statements will not be considered as part of the
evidentiary record.
4.
Authenticity of Documents. The authenticity of all
documents submitted as proposed exhibits in advance of the
hearing shall be deemed admitted unless written objection is
filed prior to the hearing, except that a party will be permitted
to challenge such authenticity at a later time upon a clear
showing of good cause for failure to have filed such written
objection. For example, absent objection, if an exhibit
purporting to be a copy of a letter mailed on a certain date were
submitted, it would not be necessary to prove such mailing or the
accuracy of the copy.
HEARING
5.
Statement of Position. Counsel for each party shall
submit a statement of position before he presents his direct
case. It shall include his theory of the case and such other
material as directed by the Judge. This statement shall not be
subject to cross-examination and shall not be received in
evidence.
6.
Order of Presentation and Cross-Examination. The order
of presentation will be as follows, alphabetically within each
category:
(1)
Civic Parties
(2)
Applicants
(3)
Industry Intervenors
(4)
Labor Parties
(5)
Governmental Agencies
(6)
Other Parties and Other Interested Persons
(7)
Agency Staff
Each party shall develop the hearing record on direct
examination in logical order, and rebuttal shall be presented at
the same time as the direct case. The order of cross-examination
APPENDIX I - FORMS
170
will be the same as for presenting direct cases unless the Judge
deems some other order more appropriate.
7.
Requirement for Submission of Corrected Copies of
Exhibits. Each party shall present at the hearing three fully
corrected sets of its exhibits received in evidence. The
original is to be presented to the reporter, and ultimately will
be transmitted to the agency for inclusion in the original
docket. The other two copies are to be presented to the
Administrative Law Judge, one for his use and the other for
inclusion in the duplicate docket maintained by the agency.
8.
Cross-Examination. Cross-examination, except by agency
staff, shall be limited to the scope of the direct examination
and to witnesses whose testimony is adverse to the party desiring
to cross-examine. This is intended specifically to prohibit so-
called "friendly cross-examination."
Second rounds of cross-examination normally will not be
permitted. Cross-examination of any particular witness shall be
limited to one attorney for each party.
9.
Motions. Oral presentation on any motion or objection
shall be limited to the party or parties making the motion or
objection and the party or parties against whom the motion or
objection is directed. Such presentations shall also be limited
to one attorney for each party.
10.
Official Notice and Stipulation. Parties using
stipulated or officially noticed material shall refer to it by
specific pages.
11.
Receipt of Evidence Without Sponsoring Witnesses. Any
party who believes he has evidence of a non-controversial nature
that is appropriate for receipt in evidence without the necessity
of a sponsoring witness may present with his exhibit exchange
time (1) an affidavit, by the persons who prepared the exhibits,
to the effect that they were prepared by the witness or under his
direction and are true and correct, and (2) a request that the
exhibits be received in evidence without a witness at the
hearing.
Any party who desires to cross-examine and therefore objects
to such a request shall advise the requesting party in writing,
with copy to the Administrative Law Judge, at least ten calendar
days prior to the hearing (five calendar days in the case of
rebuttal exhibits), specifying the witness or witnesses he
APPENDIX I - FORMS
171
intends to cross-examine. If no objections are received, the
exhibit will be received without a witness at the hearing,
subject, of course, to the right of objection on other grounds.
12. These rules are deemed consistent with the orderly
conduct of this proceeding. Exceptions to any rule may be made
by the Administrative Law Judge for good cause shown.
[Date}
Administrative Law Judge
NOTE:
These rules are adapted from the standard rules used at
the former Civil Aeronautics Board.
APPENDIX I - FORMS
172
Prehearing Conference Report
Form 4-a
UNITED STATES OF AMERICA
Agency
Washington, D.C.
[Name of Case]
Docket No. 101
PREHEARING CONFERENCE REPORT
Pursuant to notice a prehearing conference was held on
[date]
and the following appearances were entered:
[Names of counsel and parties represented]
Issues. The agency on [date]
directed that this
proceeding, which involves the question of whether A company or
John Smith has acquired control of B Company and whether such
control should be approved, be set for hearing on an expedited
basis.
On [date]
, A Company, B Company, and C Company
filed an application requesting approval of the acquisition of
control of B Company by A Company from C Company. This
application was assigned Docket No. 102.
At the prehearing conference the Administrative Law Judge
ruled that he would recommend that docket Nos. 101 and 102 be
consolidated, and the conference was held on that basis.
Requests for Information. Several parties requested that
specified information be submitted by one or more of the other
parties. The parties agreed to circulate the material described
in Appendix I.
Material to be Stipulated. A proposed stipulation listing
material of general availability was circulated. A copy of that
document will be attached only to the docket copy of this report,
but not to any other copies since the proposed stipulation was
distributed to counsel at the conference. Additional copies of
the stipulation, if needed, may be obtained from agency staff.
It was agreed that the parties will be allowed until the
date fixed for the submission of exhibits-in-chief to object to
any item on the list or to suggest additional items. Otherwise
the material will be considered to have been admitted by
stipulation.
APPENDIX I - FORMS
173
Written Testimony. Each party shall submit written or
explanatory testimony with reference to its own exhibits at the
time these exhibits are submitted. Rebuttal or surrebuttal
testimony shall be submitted at the time fixed for submitting
that type of exhibit.
Ground Rules. A proposed set of "ground rules" to be
followed during subsequent stages of the proceeding was
circulated. After some minor adjustments the Administrative Law
Judge adopted the ground rules attached as Appendix 2.
Dates for Subsequent Procedural Steps:
Exhibits in Chief
Rebuttal Exhibits
Tentative Hearing Date
[Date]
Administrative Law Judge
NOTE:
This report is adapted from a former Civil Aeronautics
Board report. The attachments are omitted.
APPENDIX I - FORMS
174
Prehearing Conference Report
Form 4-b
UNITED STATES OF AMERICA
Agency
Washington, D.C.
[Name of Case]
Docket No.
Issued: [date]
Released: [date]
Pursuant to agreement reached at a prehearing conference
held this date, IT IS ORDERED that the following schedule shall
govern the initial course of this proceeding:
[date]
-Exchange of exhibits in regard to
Issue 1 plus a list of any witnesses who
will testify orally, including an
indication of the nature of their
proposed testimony.
[date]
-Notification of witnesses desired for
cross-examination.
[date]
-Commencement of hearing re Issue 1.
At the conclusion of this phase of the proceeding, dates
will be set for the hearing in regard to the comparative issue
and whatever additional issues might by then have been added as a
result of the pending petitions to enlarge issues.
Administrative Law Judge
NOTE:
This report is adapted from an order of the Federal
Communications Commission.
APPENDIX I - FORMS
175
Final Prehearing Conference Order
Form 4-c
FINAL PREHEARING ORDER
Case Caption
A final prehearing conference was held in this matter,
pursuant to Rule
of the Commission's Rules of Practice for
Adjudicative Proceedings (
CFR
), on the -- -- -- day
of -- -- -- -- -- -- , 19 -- , at -- -- o'clock, -- m.
Counsel appeared as follows:
For the Complainant:
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. (Set forth the claimed facts, specifically; for
example, if a violation is claimed, Counsel must assert
specifically the acts of violation complained of; Counsel
for 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;
APPENDIX I - FORMS
176
(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. Complainant's Evidence.
3.1 The following exhibits were offered by Complainant,
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 complainant, and
respondent(s) (and party intervenors) the right to object to
their receipt in evidence on the grounds stated:
APPENDIX I - FORMS
177
(Identification number and brief description of each exhibit.
State briefly ground of objection, e.g., competency, relevancy,
materiality) brochure
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. T here was
reserved to complainant (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 complainant 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)
APPENDIX I - FORMS
178
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
APPENDIX I - FORMS
179
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: --
Attorney for Complainant. --
Attorney for Respondent(s) --
Attorney for Intervenors
(Adapted from Consumer Produce Safety Commission, suggested form
at 16 CFR § 1025. Appendix I)
APPENDIX I - FORMS
180
Interlocutory Order
Form 5
UNITED STATES OF AMERICA
Agency
Washington, D.C.
[Name of Case]
Docket No.
ORDER
Issued:
Released:
[date]
Under consideration is a letter dated
from counsel for the Respondent, requesting that the hearing in
this case be postponed to a date more convenient for counsel.
The letter does not comply with agency rules and, apparently, the
required filing with the agency's secretary was not made.
Nevertheless, consideration will be given to the merits of the
request.
The letter arrived in this office on [date]
, the day
after exhibits and witness lists were due and nearly a month
after the order scheduling this case for hearing. Moreover, the
Agency Bureau has now filed and served the Respondent with the
exhibits for the proceeding. (The Respondent has not indicated
whether he will present witnesses or exhibits.) To delay further
a hearing would be a disservice to all parties, and inefficient
use of the agency's resources, and would not serve the public
interest.
IT IS ORDERED that the request to postpone the hearing BE
DENIED.
Administrative Law Judge
NOTE:
This order is adapted from a Federal Communications
Commission order.
APPENDIX I - FORMS
181
Prehearing conference Instructions
Form 6-a
UNITED STATES OF AMERICA
Agency
Washington, D.C.
[Name of Case]
Docket No.
ORDER PRIOR TO PREHEARING CONFERENCE
Issued: [date]
Released: [date]
A prehearing conference and a hearing are scheduled to begin
at [place]
, on October 12, 1982, at 10:00 A.M.
To prepare for the hearing IT IS ORDERED that the parties
comply with the five following subparagraphs:
(1) On designated issues (b) and (c), Bureau counsel will
prepare and serve on the other parties and the Presiding Officer
a document that specifies the reasons those issues were included
in the designation order. See
CFR
. This document will be
served on or before August 24, 1982.
(2) On designated issues (b) and (c), both the burden of
proceeding and the burden of proof have been placed on A Company.
On or before September 7, 1982, A Company will serve on all other
parties and the Presiding Officer any written documents it
intends to rely on in support of its direct case, and a list of
the witnesses (names and addresses) who will testify regarding
those two issues.
(3) On issues (a)(1) through (7), each applicant is
responsible for presenting the required information about its own
proposal.
(4) On issues (a)(2) through (7), each applicant will reduce
the essential facts to writing and present that material as an
exhibit at the hearing. That exhibit will be accompanied by the
affidavit of the witness or witnesses who prepared the material
and who may be cross-examined on it.
APPENDIX I - FORMS
182
(5) All written materials referred to in paragraphs (3) and
(4) supra will be exchanged with all the other parties and the
Presiding Officer on or before September 7, 1982.
Administrative Law Judge
NOTE:
This order is adapted from an FCC order.
APPENDIX I - FORMS
183
Prehearing Conference Order/Instructions ("Simple" case) Form 6-b
UNITED STATES OF AMERICA
Agency
[ADDRESS]
[Name of Case]
Docket No.
NOTICE OF CONFERENCE AND HEARING
This case is noticed for conference to be immediately followed
by hearing. Said conference/hearing to be held on
,
at . [The parties will be notified later as
to the exact location of the hearing.]
Parties or their representatives are required to be present
unless previously excused by the undersigned Judge. Failure to
appear will be considered a cause for dismissal and entry of
judgment.
Prior to the date of the conference, the parties shall confer
regarding: (1) possible settlement; (2) possible stipulations or
admissions; (3) the narrowing of issues; (4) defenses; (5)
witnesses and exhibits; (6) motions; (7) an agreed statement of
issues and facts; and (8) any other pertinent matters.
At the conference, the parties shall be prepared to report on
settlement efforts and all other matters which will tend to
simplify the issues and expedite the proceedings. Hearing will
proceed immediately upon the conclusion of the conference.
If a settlement has been agreed to, even though not yet
executed, and the undersigned Judge has been timely advised, it
may be unnecessary for the parties to attend this
conference/hearing.
[The respondent shall post and/or serve a copy of this notice
in accordance with Rule
of the [Commission's]
Rules of Procedure. Failure of the respondent to do so may be
considered as grounds for dismissal of respondent's notice of
contest.]
APPENDIX I - FORMS
184
[Employees or their representatives wishing to take part in
these proceedings as a party may do so by filing notice of their
determination to do so at least ten (10) days before the date set
for hearing. See [§ 29 C.F.R.
]
Administrative Law Judge
Date:
NOTE:
This notice is adapted from an Occupational Safety and
Health Review Commission ALJ's notice.
APPENDIX I - FORMS
185
Prehearing Conference Order/Instructions ("Simple" case) Form 6-c
UNITED STATES OF AMERICA
Agency
[ADDRESS]
[Name of Case]
Docket No.
ORDER REQUIRING PARTIES TO MEET
PURSUANT TO [SIMPLIFIED PROCEEDINGS]
This matter is before the undersigned for simplified
proceedings pursuant to C.F.R. §
.
It is hereby ORDERED:
That the parties meet and confer within twenty (20) days after
receipt of this Order.
The following matters shall be discussed:
1. Settlement of the case.
2. Narrowing the issues.
3. Agreed statement of the issues and facts.
4. Defenses.
5. Witnesses and exhibits.
6. Motions.
7. Any other pertinent matter(s).
It is further ORDERED that within twenty-five (25) days of
receipt of this order, the parties shall report the results of
their discussions to the undersigned Judge. Upon receipt of this
report, unless the case is settled, the undersigned shall
APPENDIX I - FORMS
186
schedule and preside over a conference/hearing at an early date.
Administrative Law Judge
Date:
.
Copies to:
NOTE:
This order is adapted from an Occupational Safety and
Health Review Commission ALJ's order.
APPENDIX I - FORMS
187
Order Granting Permission to Appeal Interlocutory Ruling
Form 7
UNITED STATES OF AMERICA
Agency
Washington, D.C.
[Name of Case]
Docket No.
ORDER GRANTING PERMISSION TO FILE APPEAL FROM INTERLOCUTORY
RULING
SERVICE:
[List of names and addresses of all parties and
counsel]
On [date]
agency staff submitted a request for (1)
reconsideration or, in the alternative, (2) permission to file an
appeal from an interlocutory ruling, dated
.
In view of the extraordinary circumstances involved, I consent
to the appeal of my ruling on agency staff's motion to dismiss,
in accordance with Section
of the agency's Rules of
Practice,
CFR
. An agency ruling at this point on the
question of the application of res judicata in cases where the
passage of time is a factor, as contrasted with a ruling after a
full hearing in the matter is completed, is in the public
interest and is necessary to prevent substantial detriment to the
public interest and the parties.
The parties shall have thirty (30) days in which to brief the
question presented in the appeal to the agency.
[Date]
Administrative Law Judge
NOTE:
This form is adapted from a National Transportation
Safety Board order.
APPENDIX I - FORMS
188
Administrative Law Judge's Questions
Form 8-a
UNITED STATE OF AMERICA
Agency
Washington, D.C.
[Name of case]
Docket No.
ADMINISTRATIVE LAW JUDGES'S QUESTIONS
Counsel for the agency and for the respondents are directed to
answer and present argument on the following questions.
Responses shall be in writing and served by [date]
.
1. What does the legislative history indicate were all the
reasons for adopting the requirement of Presidential approval of
the regulations? Give all specific references. Was there
discussion of a need for uniformity prior to [date]
when
Congressman
introduced this proposal?
2. Section
of the Act originally provided that each
agency should take action to effectuate the provisions of section
and that such action may be taken by rule or regulation or
order of general applicability. This was later amended to a
direction to effectuate section
by issuing rules,
regulations, or orders of general applicability. Why was this
change made? Give all specific references. Was this change made
after [date]
? If so, does it affect the argument on
page 17 of the brief of the agency that there was no suggestion
that all major issues must be resolved by regulation, and that
the agencies (not the President) would have a good deal of
discretion?
Counsel for respondents are invited to answer the questions
previously addressed to the agency by the notice of [date]
.
[Date]
Administrative Law Judge
Copies to all parties
NOTE:
These questions are adapted from questions used in a
Department of Health and Human Services proceeding.
APPENDIX I - FORMS
189
Administrative Law Judge's Letter to Expert Witness
Form 8-b
Dear [Dr.]
:
This letter is a request for your professional opinion in
connection with
's disability claim, which is now
before me for a hearing and decision.
Enclosed is a proposed exhibit,
, which summarizes
your professional qualifications. If necessary, please correct
or complete the form to accurately reflect your professional
qualifications, and return the original to me. The copy is for
your files.
Also enclosed are copies of pertinent evidence for your
consideration. Based on your professional knowledge and the
information provided, please furnish written answers to the
enclosed interrogatories. If additional space is needed, you may
use the reverse side of the interrogatories or attach additional
pages. A copy of this letter and the completed interrogatories
will be made a part of the record of the proceedings in this
case.
Submit your charges for this service in accordance with your
Blanket Purchase Arrangement with the Department of
. Sign the enclosed Contractor's Invoice and return
it to me, along with the completed interrogatories, the evidence,
and the other documents, as soon as possible, but no later than
(date)
. For your convenience, I am enclosing a postage-
paid, self-addressed envelope.
Sincerely yours,
Administrative Law Judge
NOTE:
This form is adapted from a letter used by the Social
Security Administration.
APPENDIX I - FORMS
190
Administrative Law Judge's Interrogatories to Expert
Form 8-c
Individual:
SSN:
Claim for:
1. Please state your full name and address.
2. Is the attached curriculum vitae a correct summary of your
professional qualifications?
3. Are you board-certified in any medical field and, if so, which
field?
4. Are you aware that your responses to these interrogatories are
sought from you in the role of an impartial (medical)
(vocational) (other)
expert?
5. Has there been any prior communication between the
Administrative law Judge and yourself regarding the merits of
this case?
6. Have you ever personally examined the claimant?
7. Have you read the medical data pertaining to the claimant
which we furnished you?
8. Is there sufficient medical evidence of record to allow you to
form an opinion of (the claimant's medical status) (other) ?
If not, what other evidence is required?
9. Please list the claimant's physical and/or mental impairments
resulting from anatomical, physiological, or psychological
abnormalities which are demonstrable by medically acceptable
clinical and laboratory diagnostic techniques. In addition,
please state your opinion as to the severity of each impairment,
and the exhibits and objective findings which support your
opinion.
APPENDIX I - FORMS
191
10. Are there any conflicts in the medical evidence of record
which affected your opinion and, if so, please state how you
resolved them?
11. Have we furnished you with copies of the pertinent section of
the Listing of Impairments, Appendix I, Subpart P, Social
Security Regulations, No.
?
12. In your opinion, do any of the claimant's impairments, when
taken individually, meet the requirements of any of the listed
impairments? Please fully explain this answer . . . .
13. . . .
. . . .
20. Do you have any additional comments or information which may
assist us in reaching a decision? If so, please state.
NOTE:
This form is adapted from a form used by the Social
Security Administration.
APPENDIX I - FORMS
192
Form 8-d
Letter Sending Interrogatories to Claimant or Representative
Dear
:
This refers to Mr./Mrs./Ms./your claim for disability benefits.
I have determined that it is necessary to obtain further
evidence from a/an medical/other expert. I proposed to do this
by requesting a/an medical/other expert to review the file and
to answer written interrogatories/questions about your claim.
I am enclosing the interrogatories/questions that I propose to
submit to the expert. You may:
object to any of the questions;
propose other questions; or
object to my obtaining this information by means of
interrogatories/questions .
If I revise the interrogatories/questions based on your comments,
I will give you another opportunity to comment on the revised
interrogatories/questions. I will also send you a copy of the
expert's responses. You may then:
comment on the responses to the interrogatories/questions;
submit more evidence; or
ask me to submit additional interrogatories/questions to the
expert.
If you object to my sending interrogatories/questions to an
expert, you may request that I obtain the evidence at
a supplemental hearing.
If I do not receive a response from you within 20 days from the
date of this letter, I will assume you have no objections and no
additional interrogatories/questions. I will then send the
enclosed interrogatories/questions to the expert.
Please contact me if you have any questions on this procedure.
Sincerely yours,
Administrative Law Judge
NOTE:
This form is adapted from a letter used by the Social
APPENDIX I - FORMS
193
Security Administration.
APPENDIX I - FORMS
194
Letter Sending Revised Interrogatories
Form 8-e
to Claimant or Representative
Dear
:
In response to your comments of
date, I have revised the
interrogatories/questions that I originally proposed to submit to
a/an medical/other expert. I am enclosing the revised
interrogatories/questions.
If you have any further comments, please send them to me within
10 days from the date of this letter. After that time, I will
request an expert to respond to the interrogatories/questions.
Sincerely yours,
Administrative Law Judge
NOTE:
This form is adapted from a letter used by the Social
Security Administration.
APPENDIX I - FORMS
195
Letter Proffering the Responses to the Interrogatories
Form 8-f
to the Claimant or Representative
Dear
:
This refers to [Mr./Mrs./Ms. 's] [your]
claim for
disability benefits. I have received responses to the
[interrogatories/questions] I submitted to
, a
expert. I have enclosed a copy of those responses and a
statement of 's professional qualifications.
Please review this material carefully. You may:
o submit a written statement of the facts and law in this
case, including any comments you wish to make on the expert
witness' responses; or
o request that the expert witness answer further
[interrogatories/questions]; or
o ..
If you wish to question the expert witness at a [supplemental]
hearing, you may so request. If you so request, I will schedule
a [supplemental]
hearing and will notify you of the time and
location of the hearing.
If I do not receive a response from you within 20 days from the
date of this letter, I will conclude that you have no additional
[interrogatories/questions] and that you do not wish to submit
anything further. Also, I will accept into the record as
additional evidence the questions to the expert, the expert's
responses, and the statement of the expert's professional
qualifications, and issue a decision.
Sincerely yours,
Administrative Law Judge
Enclosures
[cc: claimant/others]
NOTE:
This form is adapted from a letter used by the Social
Security Administration.
APPENDIX I - FORMS
196
Intervention Order
Form 9
UNITED STATES OF AMERICA
Agency
Washington, D.C.
[Name of Case]
Docket No.
ORDER GRANTING, DENYING, AND DISMISSING PETITIONS
TO INTERVENE
Petitions to intervene were filed before May 10, 1982, by a
Company, B city, C City, D City Airport commission, and E
Association International. The hearing commenced May 10, 1982.
A Company provides service to points at issue herein. As
such, therefore, it may be affected by any order that may be
entered, and its interest may not be adequately represented by
existing parties.
Cities B and D now receive service pursuant to route
authorizations that are at issue herein. Each, therefore, may be
affected by any order that may be entered and its interest may
not be adequately represented by existing parties.
The petitioning labor organization E represents employees of
carriers whose route authorizations are proposed for modification
and/or change herein. It, therefore, may be affected by any
order that may be entered and its interest may not be adequately
represented by existing parties.
No proposal for modifying the air service authorized to C City
is included among the issues in this proceeding and,
consequently, any interest C City may have it too remote to
justify intervention.
Pursuant to authority delegated by the agency in its
regulations, it is found that each petitioner, except C City, has
a sufficient economic interest in this proceeding to justify its
participation as a party.
By petition filed August 2, 1982, F City seeks to intervene.
The agency's Rules of Practice require filing of a petition to
intervene by a city, other public body, or a chamber of commerce
not later than the last day prior to the beginning of the
APPENDIX I - FORMS
197
hearing. This rule provides that a petition that is not timely
filed shall be dismissed unless the petitioner shall clearly show
good cause for the failure to file on time.
In support of its contention that there is good cause for
failure to file the petition until this late date, the petitioner
asserts failure to receive notice of the pendency of the
proceeding. The notice of hearing was published on April 1, 1982
(
Fed. Reg.
). Moreover, official notice is taken that
the pendency of this proceeding has also been widely covered in
the press, including trade and business magazines and
publications.
Pursuant to authority delegated by the agency in its
regulations,
CFR
, it is found that the petitioner
has not clearly shown good cause for failure to file its petition
on time.
ACCORDINGLY, IT IS ORDERED:
1. That all of the above petitions to intervene, except that
of C City and F City, are granted.
2. That the petition of C City to intervene is denied.
3. That the petition of F City is dismissed.
Persons entitled to petition the Board for review of this
order pursuant to the agency's regulations,
CFR
, may
file such petitions within ten days after the date of service of
this order.
This order shall be effective and become the action of the
agency upon expiration of the above period unless before that
date a petition for review is filed, or the agency gives notice
that it will review this order on its own motion.
[Date]
Administrative Law Judge
NOTE:
This form is adapted from several orders issued by the
former Civil Aeronautics Board.
APPENDIX I - FORMS
198
NOTICE OF HEARING
FORM 10-a
UNITED STATES OF AMERICA
Agency
Washington, D.C.
NOTICE OF HEARING
PLEASE TAKE NOTICE that the hearings in docket Number
,
, and will commence at 10:00 A.M. on [date]
, in Room
, Federal Building, [city and state]
.
For information concerning the issues involved and other
details in this proceeding, interested persons are referred to
the prehearing conference report issued on [date]
and
other documents which are in the docket of this proceeding on
file in the Docket Section of the Agency.
[Date]
Administrative Law Judge
NOTE:
This notice is adapted from a Federal Reserve System
notice.
APPENDIX I - FORMS
199
NOTICE OF HEARING
FORM 10-b
UNITED STATES OF AMERICA
Agency
Adress
Caption
NOTICE OF HEARING
A hearing will be held in the above matter on August 29, 1988,
at 9:30 a.m.
at/in [full address, including where relevant the
name of the building [e.g., New Courthouse Building, city, state]
.
Please report to [clerk's office, first floor, for
information regarding room number] [other purposes].
Pursuant to section 9(b) of the Occupational Safety and Health
Act and section [ ] of the Commission's Rules of Procedure,
the respondent is hereby required to serve and/or post this
Notice of Hearing in order to afford affected employees or their
representatives an opportunity to participate as parties during
this proceeding.
Affected employees/others are entitled to participate in this
hearing under terms and conditions established by the
Occupational Safety and Health Review Commission in its Rules of
Procedure.
Notice of intent to participate should be sent to:
[Full address of administrative law judge/agency/or other
addressee, as appropriate]
Date:
Administrative Law Judge
NOTE:
This notice is adapted from an Occupational Safety and
Health Review Commission ALJ's notice.
APPENDIX I - FORMS
200
Request by Judge for a Person to Appear as a Witness
Form 11
UNITED STATES OF AMERICA
Agency
Washington, D.C.
Date
Re: [Name of Case]
[Name of Case]
Docket No.
Dear Sir:
The agency is holding a proceeding involving the
reclassification of mail. The issue is the possible development
of a new system of classification based on the technological
capabilities that may reasonably be attained in the near future.
For example, do machines exist that can read and sort mail? When
are such machines likely to be available? What are the practical
and financial problems involved in using such machines?
I request that you, in your capacity as a knowledgeable and
concerned private citizen, appear and testify on this matter at
any agency hearing to be held at [place]
, Washington,
D.C. at 10 A.M., Thursday, [date]
.
Rules of this agency prevent your discussing your testimony
with me outside of the hearing.
Sincerely,
Administrative Law Judge
NOTE:
This letter is adapted from a Postal Rate Commission
letter.
APPENDIX I - FORMS
201
Presiding Judge's Instructions for Briefing
Form 12
UNITED STATES OF AMERICA
Agency
Washington, D.C.
[Name of Case]
Docket No.
PRESIDING JUDGE'S INSTRUCTIONS FOR BRIEFING
An examination of the record discloses certain novel or legal
problems that were not fully covered in the factual record or
arguments of the parties during the hearing. Consequently, to
expedite the decision the following specific matters shall be
briefed.
1. Subsidy Eligibility
Each of the applicants is now receiving subsidy and it is
possible, if the merger is approved, that the surviving carrier
will be entitled to subsidy in an amount to be determined by the
agency. The applicants request that the merger issues should be
decided at once and that, if the merger is approved,
determination of the amount of the subsidy, if any, be deferred
for decision in another proceeding. The agency, on the other
hand, contends that decision on the merger should be deferred
pending decision on subsidy needs in an ancillary rate
proceeding.
The applicants and the agency are requested to include
arguments on this matter in their brief.
2. Labor Protective Conditions
Historically, the agency has in merger cases used the labor
protective conditions adopted in X Case in 1952 and reaffirmed in
Y Case in 1979. (These conditions are based on those included in
the WASHINGTON JOB AGREEMENT OF MAY 21, 1936.)
The applicants request that the same conditions be imposed if
the merger is approved. The C Union, in light of changed
economic conditions, requests that the agency reexamine the labor
protective conditions and make such changes as it finds needed.
APPENDIX I - FORMS
202
The applicants, the C Union, and the agency are requested to
include arguments on this matter in their briefs.
Briefs shall be submitted ten days after the close of the
hearing. Reply briefs will not be permitted.
Administrative Law Judge
[Date]
APPENDIX I - FORMS
203
ORDER CORRECTING TRANSCRIPT
Form 13
UNITED STATES OF AMERICA
Agency
Washington, D.C.
[Name of Case]
Docket No.
ORDER CORRECTING TRANSCRIPT
Issued:
Released:
Under consideration are a motion to correct transcript filed
by A on [Date]
and on opposition filed by B on
[Date]
.
A's motion requests that references to section 21.505 of the
Rules that are found on page 167, line 25 and on page 168, line 6
of the transcript be changed to section 21.504. Accompanying A's
motion is an affidavit of C, consulting engineer, indicating that
upon reviewing his testimony he discovered these typographical
errors.
The references in question appear in the testimony of the
witness C, and refer to a series of propagation curves actually
set forth in section 21.504.
B's contention that A's motion is an attempt to change C's
testimony is unsound. It is obvious that the reference to
section 21.505 rather than section 21.504 is a typographical
error.
In order that the agency may have an accurate record before
it, IT IS ORDERED that A's motion IS GRANTED and the transcript
IS CORRECTED as proposed.
Administrative Law Judge
NOTE:
This order correcting transcript is adapted from an
order of the Federal Communications Commission.
APPENDIX I - FORMS
204
ERRATA SHEET
Form 14
UNITED STATES OF AMERICA
Agency
Washington, D.C.
[Name of Case]
Docket No.
ERRATA SHEET
INITIAL DECISION OF THE
ADMINISTRATIVE LAW JUDGE
(Issued
)
1.
On page 4, paragraph 2, line 7, change "$74,936" to
"$74,936,000".
2.
On page 7, paragraph 2, line 38, change "$21,401" to
"$21,401,000".
3.
On page 9, paragraph 2, line 3, between the words "can" and
"exceed" insert the word "not".
4.
On page 14, second quote, line 12, change "employer" to
"employee".
5.
On page 14, last paragraph, line 11, change "yards" to
"meters".
6.
On page 16, last paragraph, line 1, change "is dismissed" to
"is denied".
[Date]
Administrative Law Judge
NOTE:
This errata sheet is adapted from one used by the
Federal Energy Regulatory Commission.
APPENDIX I - FORMS
205
CERTIFICATION OF A RECORD TO AN AGENCY
FORM 15
UNITED STATES OF AMERICA
Agency
Washington, D.C.
[Name of Case]
Docket No.
PRESIDING ADMINISTRATIVE LAW JUDGE'S
CERTIFICATION OF THE RECORD ACCOMPANYING
INITIAL DECISION
TO THE SECRETARY:
In accordance with the provisions of Section
of the
Commission's Rules of Practice and Procedure, I hereby certify:
I. That the following constitutes the record of the hearing
in this proceeding:
(1) The official stenographer's report of the hearings held
on October 5 through 8, 1982, consisting of volumes numbered 1
through 5, pages numbered 1 through 715, including errata.
(2) Exhibits numbered 1 through 16, which are described on
the various index pages of the official stenographer's report.
All exhibits were admitted into evidence.
(3) Items A through G, which are described on the various
index pages of the official stenographer's report.
II. That, in accordance with Section
of the Rules of
Practice and Procedure, the attached document, dated
, is
my Initial Decision in this proceeding.
[Date]
Presiding Administrative Law Judge
NOTE:
This certification of a record is adapted from one used
at the Federal Energy Regulatory Commission.
APPENDIX I - FORMS
206
ORDER ADMITTING EXHIBIT INTO EVIDENCE
FORM 16
UNITED STATES OF AMERICA
Agency
Washington, D.C.
[Name of Case]
Docket No.
ORDER ADMITTING EXHIBIT INTO EVIDENCE
Pursuant to the Judge's request at the hearing, A city has
submitted its rate contract with X Power Company to the Judge and
all parties. This contract, dated
, is marked A exhibit 1
for purposes of identification.
It appears that the document is relevant to the issues and is
received into evidence.
Any party wishing to object to the admission of this document
into evidence should submit its objections in writing and hand
deliver them to the Presiding Judge on or before [date]
. If any objections are received, the Presiding Judge will
reconsider the action taken in this order and issue a further
order dealing with the objections.
SO ORDERED.
[Date]
Administrative Law Judge
NOTE:
This order is an adaptation of one issued by the
Federal Energy Regulatory Commission.
APPENDIX I - FORMS
207
ORDER SETTING ORAL ARGUMENT
FORM 17
UNITED STATES OF AMERICAN
Agency
Washington, D.C.
[Name of Case]
Docket No.
ORDER SETTING ORAL ARGUMENT
By motion filed [date]
X Company sought an order allowing
the Company access to certain documents in the files of Agency
Staff. Agency Staff filed a response in opposition on
[date]
. X Company seeks oral argument on this matter. Oral
argument regarding production of the date in question will be
heard at 10:00 A.M. on [date]
in a hearing room of this
Agency,
[place]
, Washington, D.C. Other procedural dates will
also be set at that time.
[Date]
Administrative Law Judge
NOTE:
This order is adapted from one used at the Federal
Energy Regulatory Commission.
APPENDIX I - FORMS
208
INQUIRY re FURTHER PROCEEDINGS
FORM 18-a
IN THE UNITED STATES COURT OF CLAIMS
TRIAL DIVISION
No.
(Dated:
)
)
)
)
)
v.
)
)
The United States
)
Since issue has now been joined, this inquiry is made to
determine what steps should henceforth be taken to expedite the
disposition of this case.
If a trial is to be held, normal procedure calls for the
issuance of a Standard Pretrial Order on Liability under which
the parties are required to submit to each other (with plaintiff
making the first submission) statements setting forth the facts
which they believe are not in dispute, the issues of fact and law
as they perceive them to be, the exhibits they propose to
introduce into evidence, and the witnesses whose testimony they
propose to take, together with an indication of the issues to
which the testimony of each witness will relate.
However, if the parties contemplate the disposition of the
case by means other than a trial, it may not be necessary to
invoke such formal pretrial procedures. For instance, if the
parties will proceed by a dispositive motion (such as a motion
for summary judgement), or if they intend to stipulate all of the
material facts (assuming the case lends itself to such a
stipulation), or if they propose to dispose of the case by way of
a settlement, the issuance of the Standard Pretrial Order may be
withheld. In some cases, where justified, the issuance of the
Order may be postponed pending the completion of necessary
discovery proceedings (see Rule 71(a)).
APPENDIX I - FORMS
209
Accordingly, in order that a determination may be made
concerning the nature, extend and timing of further proceedings,
counsel for each of the parties is directed to respond to this
Inquiry (by letter, with a copy to opposing counsel) within
days, by advising whether [s]he presently intends (1) to file a
dispositive motion; (2) to undertake a stipulation of all of the
facts (experience has indicated that such a stipulation sometimes
evolves more expeditiously as a result of complying with the
Standard Pretrial Order); (3) to initiate settlement
negotiations; or (4) to engage in such discovery proceedings as
would, in counsel's opinion, justify the postponement of the
Standard Pretrial Order until the completion of such proceedings.
If either counsel intends to pursue one or more of the above
courses of actions, the response should be accompanied by a
request for a deferral of the issuance of the Standard Pretrial
Order for a stated reasonable time, and upon condition that
within such time counsel will pursue the indicated courses of
action.
Trial Judge
APPENDIX I - FORMS
210
PRETRIAL INSTRUCTIONS
Form 18-b
UNITED STATES COURT OF CLAIMS
717 Madison Place, N.W.
Washington, D.C. 20005
PRETRIAL INSTRUCTIONS
The accompanying pretrial order is issued with a view to
securing just and inexpensive determination of litigation,
without unnecessary delay, it is designed to explore:
(a) simplification and clarification of the issue;
(b) the possibility of obtaining stipulations, admissions,
agreements on documents, understandings on matters already of
record, or similar agreements which will avoid unnecessary proof;
(c) limitation of the number of expert or other witnesses,
and avoidance of cumulative evidence, should the case go to
trial;
(d) the possibility of agreement disposing of all or any of
the issues in the case; and
(e) such other matters as may aid in the disposition of this
litigation.
In following the instructions contained in this order, counsel
should bear these purposes in mind. Your full cooperation is
essential if pretrial proceedings are to be effective. Time
spent on through pretrial not only saves an equivalent or greater
period of time during the course of the trial for the court,
counsel, and witnesses, but reduces costs.
Counsel are therefore asked to approach their respective
obligations in a genuine and sincere spirit of cooperation, both
in the preparation of their submissions, and in their assessment
of and comment on submissions of opposing counsel. Settlement
possibilities should be thoroughly and conscientiously assessed,
without unduly delaying the pretrial procedures. The possibility
of voluntary disclosure of discoverable information should be
explored before resort is had to compulsory process. The latter,
if required, is to be initiated without delay and concluded prior
to response to the pretrial order.
With the full cooperation of counsel, it should not be
necessary to impose the sanctions provided by Rule 114(b) for
APPENDIX I - FORMS
211
failure or refusal to comply with the requirements of the
pretrial order.
STANDARD PRETRIAL ORDER ON LIABILITY
Form 18-c
IN THE UNITED STATES COURT OF CLAIMS
TRIAL DIVISION
No.
(Filed: )
)
)
)
)
)
Standard Pretrial Order
on Liability
(Rule 111)
Plaintiff,*
v.
The United States
Defendant.
IT IS ORDERED as follows:
1. Plaintiff's Submission. On or before
19
, the plaintiff* shall furnish the following to the
attorney of record for the defendant and to the trial judge:
(a) A list accurately describing the documents that are relied
on and are to be offered in evidence. The documents shall be
numbered; and the list shall be accompanied by a copy of each
document referred to therein, except that (1) no copy need be
supplied to defendant's counsel where the plaintiff reasonably
believes that the defendant already has the original or a
copy, and (2) the trial judge need not be provided a copy of
any exhibit unless its admissibility is put in issue.
APPENDIX I - FORMS
212
(b) A statement of the material matters of fact as to which
it is believed that there is no substantial controversy
between the parties, or which have been agreed to by the
parties. The paragraphs of this statement shall be numbered.
(c) A memorandum of contentions of fact and law, which shall
comply with the following requirements:
(1) The contentions of fact shall consist of a concise
statement of the ultimate, material facts which the plaintiff
expects to establish, rather than a general statement of the
claim or a repetition of the pleadings.
(2) The contentions of law shall be in the form of
conclusions of law based on the ultimate facts which the
plaintiff expects to establish, and, in addition, shall contain a
brief statement of the points of law and a citation of the
authorities relied upon in support of each point.
(d) (1) A list setting forth the name, address, and
occupation of each of the witnesses whom the plaintiff
proposes to call, and a succinct statement of the issue or
issues to which the testimony of each witness will relate.
(2) The preferred date for the beginning of the trial, and
the preferred place or places therefor.
(3) An approximation of the time that will be required for
the direct examination of the plaintiff's witnesses at each
place.
2. Defendant's Response. Within
days after receiving the
data referred to in paragraph 1 of this order, the defendant
shall furnish the following to the attorney or record for the
plaintiff to the trial judge:
(a) A statement admitting or denying the admissibility of
each document listed under paragraph 1(a) of this order,
together with the reasons for any denial of admissibility,
and a further statement admitting or denying the genuineness
of any documents the admissibility of which is disputed.
(b) A statement (arranged in numbered paragraphs) agreeing
to, denying, revising or otherwise commenting on the factual
data submitted under paragraph 1(b) of this order.
(c) A list of the proposed defense exhibits, meeting the
APPENDIX I - FORMS
213
requirements of paragraph 1(a) of this order.
(d) A statement setting out any further material matters of
fact as to which the defendant believes that there is no
substantial controversy between the parties. the paragraphs
of this statement shall be numbered.
(e) A memorandum of contentions of fact and law, which
shall comply with the requirements set forth in paragraph
1(c) of this order.
(f) A list of the proposed defense witnesses, complying
with the requirements of paragraph 1(d)(1) OF this order.
(g) A statement indicating the defendant's preferences as
to the date and location of the trial.
(h) An estimate of the time likely to be required for the
presentation of the direct testimony of the defendant's
witnesses, and the cross-examination of the plaintiff's
witnesses, at each preferred location.
3. Plaintiff's Reply. Within
days after receiving the
data referred to in paragraph 2 of this order, the plaintiff
shall furnish the following to he attorney of record for the
defendant and to the trial judge:
(a) A statement agreeing to, denying, or otherwise
commenting on any revised or additional factual data
submitted under paragraph 2(b) an (d) of this order.
(b) Such observations in rebuttal as the plaintiff may wish
to offer respecting the defendant's contentions of fact and
law submitted under paragraph 2(e) of this order.
(c) A statement admitting or denying the admissibility of
each of the documents listed under paragraph 2(c) of this
order, together with the reasons for any denial of
admissibility, and a further statement admitting or denying
the genuineness of any documents the admissibility of which
is disputed.
(d) An estimate of the time likely to be required for the
cross-examination of defendant's proposed witness at each
preferred location.
4. Form of Compliance. for convenient of reference,
APPENDIX I - FORMS
214
submissions in compliance with this order shall follow the format
of the order by citing the numbered paragraph pursuant to which
each portion of a particular submission has been prepared.
5. Sanctions. Rule 114(b) provides sanctions for failure or
refusal to comply with the requirements of this order.
Trial Judge
APPENDIX I - FORMS
215
STANDARD PRETRIAL ORDER ON ACCOUNTING
FORM 18-d
IN THE UNITED STATES COURT OF CLAIMS
No.
(Filed )
,
Plaintiff, *
Standard Pretrial Order
On Accounting
(Rule 111)
v.
THE UNITED STATES,
Defendant.
IT IS ORDERED as follows:
1.
Plaintiff's Statement. On or before
, 19
, the
plaintiff* shall furnish to the attorney of record for the
defendant and to the commissioner a statement in schedule form
showing all the items and figures which the plaintiff intends to
prove from books of account or other records. Such statement
shall be prepared in accordance with the requirements set out in
the following subparagraphs of this paragraph 1:
(a) The basic figures, costs, and rates from which any
claim is computed shall be tabulated in such detail that the
statement may be admitted in evidence in lieu of producing
the books and records from which the pertinent data were
taken.
(b) The statement shall include a complete computation of
the total amount of each claim that is based upon or derived
from book of account or other records.
(c) Each separate portion of the statement shall contain a
reference showing the particular books and records from
APPENDIX I - FORMS
216
which it was taken.
(d) Where the statement includes a claim for overhead,
factory burden, general expense, or similar items based upon
allocations of entries shown in the books or records, the
statement shall itemize such indirect expenses for the
period involved, and shall show the accounting method or
principle upon which the allocations were made.
(e) Where a claim includes an item of damages for machinery
or equipment expense, the statement shall show the type,
class, capacity, or other identifying description of each
major piece of machinery or equipment involved, and the book
value of each item. If book values are not separately shown
in the records, or if some basis of value other than book
value is used, the statement shall show how the value was
determined. The statement shall contain a complete
computation of the equipment expenses claimed; and unless
the costs incurred or the expenses claimed are fully set
forth in the books or records, the statement shall show the
accounting method, principle, or authority upon which such
computation is based.
(f) The statement shall be accompanied by:
(i) a declaration that the books and records, or any part
thereof, upon which the statement is based (including
ledgers, journals, payrolls, and the original invoices,
vouchers, checks, and other records and documents needed for
a verification of the amount claimed or for a determination
of the basis upon which the claim is computed) will be made
available to the defendant for examination; and
(ii) a notice showing the address where such books and
records may be examined by the defendant, together with the
name and address of the bookkeeper or accountant who
prepared the statement and who will be made available for
the furnishing of information regarding such books and
records in connection with the defendant's examination
2.
Defendant's Response. Within
days after receiving the
plaintiff's statement in accordance with paragraph 1 of this
order, the defendant shall make an examination of the pertinent
books of account and other records, and shall furnish to the
attorney of record for the plaintiff and to the commissioner a
statement showing the results of such examination, or waive
challenge of the accuracy of the statement submitted by the
APPENDIX I - FORMS
217
plaintiff as reflecting the contents of such books and records
and the accuracy of the computations, including allocations, made
therefrom. The defendant's statement shall be prepared in
accordance with the requirements set out in the following
subparagraphs of this paragraph 2:
(a) If the defendant verifies the items and figures (or any
of them) contained in the plaintiff's statement, including
the plaintiff's computations and allocations, the defendant
shall so report in its statement. Such a report shall not
be deemed to be an admission by the defendant of anything
more than the accuracy of-
(i) the statement examined as reflecting the contents
of the books and records, and
(ii) the allocations and computations based thereon.
(b) If the defendant's examination fails to verify any of the
items, figures, allocations, or computations contained in the
plaintiff's statement as submitted, the defendant shall
specify in its statement each item, figure, allocation or
computation not verified, together with such different item,
figure, allocation, or computation, if any, derived by the
defendant from its examination. The defendant shall set forth
in its statement a complete explanation of each exception, and
shall specify any alternative methods or theories of
accounting upon which the exceptions are based.
(c) The defendant shall be deemed to have waived challenge of
the accuracy of all items, figures, allocations, and
computations contained in the plaintiff's statement, as
submitted, that are not specified in the defendant's statement
as the subject of exceptions.
3.
Defendant's Cross-Statement. In a situation where the
defendant (a) has derived any items, figures, allocations, or
computations from its examination of the plaintiff's books and
records, and (b) intends to offer evidence based upon the
material so derived in reduction of any portion of the amount
claimed by the plaintiff, or in support of a counterclaim or
offset or affirmative defense, or in support of a theory of
damages different from that of the plaintiff, the defendant shall
prepare a cross-statement reflecting such items, figures,
allocations, or computations. The cross-statement shall be
prepared in conformity with the requirements set out in
subparagraphs (a)-(e) of paragraph 1 of this order, and it shall
APPENDIX I - FORMS
218
be furnished to the attorney of record for the plaintiff and to
the commissioner within the period prescribed in paragraph 2 of
this order.
4.
Counterclaim or Offset Based on Defendant's Records.
(a) If the defendant has filed, or intends to file, a
counterclaim or offset based on its own books of account or other
records, the defendant, within the time prescribed in paragraph 2
of this order, shall furnish to the attorney of record for the
plaintiff and to the commissioner a statement prepared in
accordance with the requirements set out in paragraph 1 of this
order.
(b) Within
days after receiving the statement referred to
in subparagraph (1) of this paragraph 4, the plaintiff shall make
an examination of the pertinent books and records of the
defendant and shall furnish to the attorney of record for the
defendant and to the commissioner a statement showing the results
of such examination, or waiver challenge of the accuracy of the
defendant's statement as reflecting the contents of such books
and records and the accuracy of the computation, including
allocations, made therefrom. The provisions of paragraph 2 of
this order shall be applicable to the plaintiff's statement.
Commissioner
APPENDIX I - FORMS
219
STANDARD ORDER SCHEDULING PRETRIAL CONFERENCE
Form 18-e
IN THE UNITED STATES COURT OF CLAIMS
Trial Division
No.
Filed
Plaintiff(s),
v.
Standard Order Scheduling
Pretrial Conference
The United States
(Rule 112)
Defendant.
IT IS ORDERED as follows:
1. The attorneys for the parties* are directed to appear
before me in room
, U.S. Court of Claims Building, 717
Madison Place, N.W. (Lafayette Square), Washington, D.C., at
o'clock on
19
, for
pretrial conference.
2. The pretrial conference will deal with the following
matters:
(a) incorporating the agreed facts in the record;
(b) admitting in evidence, or marking for identification, the
documentary exhibits which the parties wish to offer (such
exhibits should be numbered prior to the conference);
(c) defining the legal issues that are involved in the
litigation;
(d) defining the factual issues that are to be tried;
APPENDIX I - FORMS
220
(e) fixing a time and place for the trial;
(f) limiting the number of expert witness and providing for
the exchange between the parties prior to the trial of written
documents, in narrative or question-and-answer form, by such
witnesses comprising their proposed direct testimony; and
(g) such other matters as may aid in the disposition of the
case.
3. An attorney appearing at the pretrial conference on behalf
of a party should preferably be the attorney who will try the
case for such party, be thoroughly familiar with the case, and be
authorized to act for his principal
4. Unless the attorneys for the parties have furnished to
each other, in accordance with a previous pretrial order (or
otherwise), lists of prospective witnesses, lists of proposed
documentary exhibits, statements of supposedly uncontroverted
facts, and statements of their contentions concerning the factual
and legal issues involved in the case, the attorneys are directed
to confer with each other before the pretrial conference and to:
(a) exchange lists containing the names and addresses of all
witnesses whom they respectively expect to call at the
trial, and indicating as to each witness the issue or issues
of fact to which his testimony will be directed (this
subparagraph does not apply to witnesses who are to be used
solely for the purpose of impeachment or rebuttal);
(b) exchange lists of the documentary exhibits which they
respectively intend to offer at the trial, each list to be
accompanied by copies of the exhibits listed unless the
originals or copies thereof are already in the possession of
the opposing party;
(c) prepare a written statement of the agreed facts;
(d) attempt to reach agreement on written statements of the
factual and legal issues that are involved in the case.
Trial Judge
APPENDIX I - FORMS
221
PROTECTIVE ORDER*
Form 19-a
UNITED STATES OF AMERICA
Agency
Washington, D.C.
[Name of Case]
Docket No.
PROTECTIVE ORDER
Upon consideration of respondent's motion for a protective
order filed on [date]
, with respect to data collected by
complaint counsel showing payments by
to respondent, and
complaint counsel's answer, it is hereby ordered that:
All documents submitted by
, whether
supplied voluntarily or pursuant to subpoena duces tecum,
containing data showing payments by
to respondent
and any compilations or summaries of such data, shall be subject
to the following terms and conditions for the purpose of
protecting the confidentiality of such information (referred to
as "confidential financial information"):
(a) confidential financial information and all documents
containing confidential financial information shall be
disclosed only to the staff of the Commission formally
assigned to this proceeding and to respondent's counsel.
(b) Disclosure of confidential financial information to any
person described in Paragraph (a) of this order shall be
only for the purpose of this proceeding and for no other
purpose.
(c) All such confidential financial information shall be
prominently marked by complaint counsel as "Confidential-
Subject to Protective Order," and shall be kept by complaint
counsel in secure, segregated facilities. Access to those
facilities shall be permitted only to persons designated in
Paragraph (a) of this order.
(d) No portion of the confidential financial information
will be copied or recorded in any manner, other than in the
work papers, notes, or memoranda of person designated in
Paragraph (a) of this order, and all such work papers shall
be treated as confidential financial information.
(e) Confidential financial information shall not be
APPENDIX I - FORMS
222
disclosed by complaint counsel to any other person employed
by the Commission until such person has executed an
affidavit stating the he has read and understood this
protective order and agrees to be bound by the terms
thereof. Copies of any such affidavits shall be filed with
the Secretary and served upon respondent.
(f) In the event complaint counsel desires that any
confidential financial information be divulged to any person
who is not an employee of the Commission, complaint counsel
shall make written application to the Administrative Law
Judge for modification of this protective order and
respondent shall be granted ten (10) days after receipt of
notice to oppose or otherwise answer said application. The
persons to be granted access to the documents and
information will be identified in any order granting
modification of this protective order.
(g) In the event complaint counsel desires to introduce
into evidence by way of documents or testimony any
confidential financial information subject to this
protective order, complaint counsel shall provide respondent
with ten (10) days prior notice to the intent to make such
offer so that respondent may seek in camera treatment of
said confidential financial information. If advance notice
cannot be provided pursuant to this order, respondent shall
be so notified at the time of introduction of such documents
and the document shall be accorded in camera treatment
pending a ruling by the Administrative Law Judge upon any
request by respondent for such treatment, which request must
be filed within ten (10) days of receipt of such notice.
(h) In the event this proceeding is resolved by means of a
consent order or otherwise disposed of prior to an
adjudicative hearing on the merits, all confidential
financial information shall be destroyed forthwith. Should
this proceeding not be so resolved, at such time thereafter
(including the completion of any appeals procedures) as this
proceeding is finally resolved, the original and all copies
of work papers reflecting confidential information, except
that which may have been incorporated into the record in
this case, shall be destroyed forthwith.
APPENDIX I - FORMS
223
(i) Nothing herein shall be construed to prevent the
Administrative Law Judge or any reviewing authority from
disclosing such confidential information as may be necessary
to reach a decision on any matter raised in connection with
this litigation.
[Date]
Administrative Law Judge
NOTE:
This order is adapted from a Federal Trade Commission
protective order.
* For protective orders involving confidential commercial
information, Executive Order No. 12600 of June 23, 1987 (52 F.R.
23781), and any agency implementing rules should be consulted.
APPENDIX I - FORMS
224
PROTECTIVE ORDER
Form 19-b
UNITED STATES OF AMERICA
Agency
Washington, D.C.
[Name of Case]
Docket No.
PROTECTIVE ORDER
having requested the issuance of a
protective order with regard to [exhibits they propose to offer
in their case in defense and [other party/parties] having stated
no objection to such request]
, IT IS HEREBY ORDERED that:
(1) All of the documents listed below and the information
contained therein shall not be disclosed to anyone except the
following persons: Respondents and their employees; Respondent's
counsel of record; experts retained by Respondent's counsel for
purposes of this litigation; [complainant's] counsel of record
in this litigation; experts used by [complainant's] counsel for
purposes of this litigation; a committee or subcommittee of
Congress, in response to official request; or a court, in
response to compulsory process. Those persons to whom disclosure
is permitted under this Order shall not make further disclosure
to anyone.
(2) The documents and information furnished shall be used only
in connection with this proceeding. All copies of such
documents, together with all notes, memoranda, and other papers
reflecting the documents and information, or any part thereof,
shall be returned to 's counsel at the
termination of this proceeding.
(3) In the event [complainant's] counsel desire to offer into
evidence any document or information subject to this Protective
Order. [complainant's] counsel
shall provide
with no less than fifteen (15) days prior notice of
their intention to make such offer so that
may seek
in camera treatment of said documents or information pursuant to
of the 's Rules of Practice
.
(4) In the event the documents or information are officially
requested by a Committee or subcommittee of Congress, or demanded
by compulsory process of a court, the court or committee or
subcommittee will be advised that
considers the
information to be confidential, and
will be
APPENDIX I - FORMS
225
provided with thirty (30) days prior notice where possible, and
in any event, as much prior notice as can reasonably be given.
The following [proposed exhibits]
are covered by this
Protective Order
EX Number
Description
. . . .
205
Reported 1978 Advertising Expenditures for
manufacturers
206
's Corporation Statement of Income,
Years Ended October 31, 1979, 1980.
IT SHOULD BE UNDERSTOOD THAT THIS PROTECTIVE ORDER COVERS THE
PRE-HEARING STAGE OF THIS PROCEEDING ONLY, AND IN NO WAY
INTIMATE'S THE JUDGE'S RULINGS WHEN AND IF CERTAIN EXHIBITS ARE
OFFERED, AND THE APPLICABILITY OF §[ ] of the
[Commission's] Rules is raised. MOREOVER, this protective order
is not intended to impede proper preparation of this case and if
any provision in this order seriously interferes with
[complainant's] [intervenor's] [other parties'/participants']
preparation, relief may be sought.
NOTE:
This order is adapted from a Federal Trade Commission
protective order.
APPENDIX I - FORMS
226
PROTECTIVE ORDER, Re: DEPOSITION
Form 19-c
UNITED STATES OF AMERICA
Agency
Washington, D.C.
[Name of Case]
Docket No.
[or other identification]
[PROTECTIVE ORDER/HEADING]
Certain documents furnished by deponents pursuant to the
subpoenas, identified hereinafter by the Exhibit Number which was
assigned at the depositions, are hereby placed under a protective
order. The terms of the protective order are set forth herein
following the identification of the documents which are covered
by the order.
[Sancho Panza] Deposition Exhibits 5, 7, 9, 10, 12, 23, . . . .
[Dulcinea]
Deposition Exhibits 1, 2, 7 . . . .
. . . .
IT IS ORDERED AS FOLLOWS:
1. The above identified exhibits shall be maintained in
confidence by the [LaMancha] [Regional Office] of the
[Federal Windmill Commission]
and be made available only to the
following employees of that Office:
[Attorney Don Quixote,
Investigator Quasimodo Jones, Secretary Earnest Torquimada],
. The foregoing persons shall use the identified
documents only for purposes of this proceeding and such documents
shall be made available to other persons within the [Federal
Windmill Commission] only on written authorization of the
assigned Administrative Law Judge.
2. All copies of the identified documents shall be returned to
each deponent who produced the identified documents pursuant to
subpoena, or to counsel for each deponent, at the conclusion of
this proceeding. For purposes of this protective order, this
proceeding shall be deemed concluded when a final order of the
APPENDIX I - FORMS
227
[Commission]
shall have been served upon respondents herein.
3. Copies of any identified exhibits offered or received in
evidence during formal trial of this matter shall not thereafter
be subject to the terms of this protective order.
Date:
Administrative Law Judge
NOTE:
This order is adapted from a Federal Trade Commission
protective order.
APPENDIX I - FORMS
228
PROTECTIVE ORDER
Form 19-d
Stipulated Protective Order
The Commission Trial Staff ("Staff") and Intervener,
have sought to obtain certain documents and information
from
Corporation and certain of its affiliates
("the Companies") in this proceeding. The Companies assert that
certain of the documents and information requested contain
confidential and proprietary information. This Stipulated
Protective Order is a device to facilitate and expedite the
handling of this proceeding and it merely reflects agreement by
counsel for the active participants at this point as to the
manner in which "PROTECTED MATERIALS," as that term is defined in
this order, are to be treated. This action is not intended to
constitute an agreement on the merits concerning confidentiality
of any of the "PROTECTED MATERIALS," and the parties shall not be
deemed by taking such action to have waived any arguments with
respect to whether the "PROTECTED MATERIALS" are confidential or
proprietary in nature.
1. All documents and information furnished subject to the
terms of this order hereinafter shall be referred to as
"PROTECTED MATERIALS." However, "PROTECTED MATERIALS" shall not
include any information or document contained in the public files
of the Federal Energy Regulatory Commission ("the Commission") or
any other federal or state agency. "PROTECTED MATERIALS" also
shall not include documents or information which at, or prior to,
disclosure in these proceedings, is or was public knowledge, or
which becomes public knowledge as a result of publication or
disclosure by the Companies.
2. The Companies may designate as "PROTECTED MATERIALS" those
documents or discovery materials or portions thereof produced by
them which in good faith they believe contain confidential or
proprietary information. Designation shall be accomplished by
marking the documents or other discovery materials or portions
thereof with the words "PROTECTED MATERIALS, FERC DOCKET NO.
." Any notes, memoranda, summaries, abstracts,
studies or other information derived from such "PROTECTED
MATERIALS" or portions thereof, other than a list of the
"PROTECTED MATERIALS," shall be similarly marked, and
reasonable precautions shall be taken to ensure that any such
notes, memoranda, summaries, abstracts, studies or other
information are not viewed by any persons except those to whom
"PROTECTED MATERIALS" may be disclosed under paragraph 4. Upon
request of the Staff, or
, the Companies shall state
APPENDIX I - FORMS
229
the reason for designating as "PROTECTED MATERIALS" documents or
discovery materials or portions thereof and shall provide a sworn
affidavit stating that, to their knowledge and belief, the
"PROTECTED MATERIALS" or portions thereof are not already on file
with the Commission or any other federal or state agency or
otherwise available to the public.
3. Unless and until otherwise agreed or otherwise ordered by
the Presiding Judge, the Commission, or a court of competent
jurisdiction, all documents and other discovery materials or
portions thereof that have been designated "PROTECTED MATERIALS,"
and any notes, memoranda, summaries, abstracts, studies or other
information derived therefrom, shall be used only in connection
with this litigation in accordance with this Stipulated
Protective Order and may be inspected by or disclosed to only the
persons described in Paragraph 4 under the conditions herein
established.
4.
a. "PROTECTED MATERIALS" may be disclosed to and used by
attorneys of record for Staff and
in this
proceeding or in any appellate proceeding resulting from
this proceeding and persons who are regularly employed in
such attorneys' offices and engaged in or supervising the
conduct of this proceeding in accordance with this
Stipulated Protective Order.
b. "PROTECTED MATERIALS" also may be disclosed to and
used by Staff's and
technical experts,
consultants, expert witnesses, other witnesses, and persons
regularly employed in their respective offices who are
involved in this proceeding in accordance with this
Stipulated Protective Order. The attorney for Staff or
shall secure and provide to counsel for the
Companies a certificate from each such person in the form
attached hereto stating that he or she has read this
Stipulated Protective Order, and that he or she may not
divulge any "PROTECTED MATERIALS," or any portion thereof,
or any information derived therefrom, except in accordance
with this Stipulated Protective Order.
In the event that any person to whom disclosure of
"PROTECTED MATERIALS" has been made ceases to be engaged in
this proceeding, access to such materials by such person
shall be terminated. However, any person who has executed
the certificate in the form attached hereto shall continue
to be bound by the provisions of this Stipulated Protective
Order even if no longer so engaged.
APPENDIX I - FORMS
230
c. Any party or participant who receives "PROTECTED
MATERIALS" pursuant to this Stipulated Protective Order will
make no more than five copies of each document. Such party
or participant will keep a log which sets forth the number
of copies of each document which were made, and will provide
a copy of that log to the Companies at the termination of
this proceeding and any related appellate litigation. The
parties or participants will negotiate in good faith
concerning the reproduction of additional copies of
"PROTECTED MATERIALS" for use as exhibits in depositions, in
testimony or during the hearing.
5.
a. If a reviewing party tenders for filing with the
Presiding Administrative Law Judge, the Commission or any
court, any written testimony, exhibit, brief or other
submission that includes, incorporates, or refers to
"PROTECTED MATERIALS," all portions thereof referring to
such materials shall be marked "PROTECTED MATERIALS" and
filed and served in sealed envelopes or other appropriate
containers endorsed to the effect that they are sealed
pursuant to this Stipulated Protective Order.
b. Unless objection to disclosure is waived by counsel
for the Companies, "PROTECTED MATERIALS" or portions thereof
may be served, offered, or introduced into evidence, or
otherwise disclosed only in an in camera portion of this
proceeding closed to all persons except those listed in
paragraph 4.
The Presiding Judge shall determine, subject to such
review as may be provided by the Commission's regulations
and by any applicable law, whether or to what extent the
"PROTECTED MATERIALS" or portions thereof will remain in
camera, will be made public, or will be stricken or excluded
from the record. Pending such determination, which shall be
subject to such review as may be provided by Commission
regulations and by any applicable law, any submission that
is served, offered, or introduced in camera shall be subject
to the provisions of this Stipulated Protective Order. That
portion of the hearing transcript relating to in camera
proceedings conducted pursuant to the Stipulated Protective
Order shall be sealed and subject to this Stipulated
Protective Order, unless otherwise ordered by the Presiding
Judge.
6. "PROTECTED MATERIALS" may be disclosed to employees of the
Commission's Assistant General Counsel for General Legal Services
and the Office of Public Information for purposes of review
pursuant to requests filed under the Freedom of Information Act,
APPENDIX I - FORMS
231
5 U.S.C. @ 552(a). Such employees shall thoroughly review all
"PROTECTED MATERIALS" covered by requests filed under the Freedom
of Information Act and determine whether the exemptions listed in
5 U.S.C. @ 552(b) apply. Documents covered by any such exemption
shall not be released. In addition, such employees shall not
authorize the release of such "PROTECTED MATERIALS" to any other
person without first providing the Companies notice in writing at
least five working days prior to such release of the intention to
release such "PROTECTED MATERIALS." In the event of such notice,
the Companies shall have the right to apply to the Commission for
a determination that the "PROTECTED MATERIALS" come within the
exceptions listed in 5 U.S.C. @ 552(b) and should not be released
or to take such other action as they deem appropriate.
7.
a. In the event that Staff or intervenors wish to
disclose "PROTECTED MATERIALS" to any person to whom
disclosure is not authorized by this Stipulated Protective
Order, or wish to object to the designation of certain
information or material as "PROTECTED MATERIALS," Staff or
intervenors will first notify in writing counsel for the
Companies and the Presiding Judge, identifying with
particularity each of such "PROTECTED MATERIALS" and state
the reason for the intended disclosure or objection. Staff,
intervenors and the Companies will then undertake good faith
negotiations in order to resolve any disputes as to such
disclosures or the validity of the claim to protection.
Where these negotiations produce agreement, such
agreement will be filed with the Presiding Judge, and other
reviewing parties may make use of these materials, provided
that they enter into similar agreements with the Companies.
b. If the Staff, intervenors and the Companies fail to
reach agreement with respect to the disclosure reference in
paragraph 7a, or the Companies otherwise maintain that the
information should continue to be classified as "PROTECTED
MATERIALS," the Companies shall notify in writing the Staff
and intervenors of their position within five days of the
notice in paragraph 7a. The Staff or intervenors shall then
file, within ten days of such notice, a motion requesting
that the Presiding Judge review the documents in camera and
determine whether they should be protected from disclosure.
The Companies shall file a response to such motion within
ten days after the motion is filed. This Stipulated
Protective Order does not change the burden of proof under
applicable law in determining whether designated documents
or information or portions thereof are entitled to be so
protected.
APPENDIX I - FORMS
232
8. In the event that the Presiding Judge at any time in the
course of this proceeding finds sua sponte or in response to a
motion that all or part of the "PROTECTED MATERIALS" are not
confidential or proprietary, those materials shall nevertheless
be subject to the protection afforded by this order for ten
working days, unless otherwise ordered, from the date of issuance
of the Judge's decision. Neither the Companies, Staff or
intervenors waive their rights to seek additional administrative
or judicial remedies after the Presiding Judge's decision.
9. Nothing in the foregoing provisions of this Stipulated
Protective Order shall be deemed to preclude any person from
seeking and obtaining, on an appropriate showing, such additional
protection or relief as may be available under applicable law.
10. All "PROTECTED MATERIALS" in the possession of Staff or
intervenors and all copies made thereof shall be returned to the
Companies at the termination of this proceeding and any related
appellate litigation, except to the extent that Staff,
intervenors and the Companies shall agree otherwise. In addition,
at the termination of this proceeding and any related appellate
litigation, the Staff and intervenors shall destroy any notes,
memoranda, and other documents and information derived from
"PROTECTED MATERIALS," other than lists of such "PROTECTED
MATERIALS," and certify in writing to counsel for the Companies
that such destruction has been accomplished. Staff and
intervenors shall have no obligation to return any material which
was originally designated as "PROTECTED MATERIALS" under this
Stipulated Protective Order but as to which a final order, no
longer subject to review, has been issued which concludes that
the material in question is not confidential or proprietary.
11. Nothing in this Stipulated Protective Order shall be
construed to prevent the parties from attempting to obtain
through discovery in any other judicial or administrative action
or proceeding all or any of the "PROTECTED MATERIALS" returned to
the Company pursuant to paragraph 10, above.
12. In the event that a document is supplied by the Companies
which the Companies inadvertently failed to mark as "PROTECTED
MATERIALS," upon request, FERC and
shall
mark any such document as "PROTECTED MATERIALS" and the document
and all copies thereof shall be subject to the provisions of this
Stipulated Protective Order.
APPENDIX I - FORMS
233
NOTE:
This is adapted from an opinion/protective order issued
by an ALJ of the Federal Energy Regulatory Commission.
(See, 32 F.E.R.C. P63,091; 1985 FERC LEXIS 1377 (1985).
APPENDIX I - FORMS
234
Judge's Docket Sheet
Form 20
AGENCY
JUDGE'S DOCKET SHEET
Judge
Case Name[Caption]
Item Number Date Entry
J-1 3/12/89 Notice of Assignment
J-2 . . . .
J-6 4/7/89 Complainant's motion to Vacate Order
Granting Simplified Proceedings
J-7 4/11/89 Order Vacating Order Granting
Simplified Proceedings
J-8 4/15/89 Motion for Continuance
J-9 4/19/89 Order Rescheduling Hearing
J-10 4/19/89 Letter from Judge stating that no
further continuances should be
requested.
J-11 5/14 Complainant's Requests for Admission
J-12 . . . .
. . . .
NOTE:
Adapted from Judge's Docket Sheet used by the
Occupational Safety and Health Review Commission.
APPENDIX I - FORMS
235
Notice of Judge's Decision
Form 21-a
NOTICE OF DECISION
In Reference To:
Caption of case
Docket No.
Enclosed is a copy of my decision. It will be submitted to
the [Commission's Executive Secretary] on date
. The
decision will become the final order of the [Commission] at
the expiration of thirty (30) days from the date of docketing by
the [Executive Secretary] , unless within that time [a Member
of the Commission]
directs that it be reviewed. All parties
will be notified of the date of docketing.
Any party adversely affected or aggrieved by the decision may
file a petition for discretionary review. A petition may be filed
with this Judge within twenty (20) days from the date of this
notice. Thereafter, any petition must be filed with the
[Commission's] [Executive Secretary] within twenty (20 ) days
from the date of the Executive Secretary's notice of docketing.
The [Executive Secretary's address is as follows:
[Executive Secretary]
. . . .
[Washington, DC 20006-1246]
The full text of the rule governing the filing of a petition
for discretionary review is [29 C.F.R. § 2200.91. It is appended
hereto for easy reference. The rule also prescribes requirements
concerning: (a) any cross-petition for discretionary review; (b)
the contents of a petition; (c) the effect of a failure to file a
petition; (d) statements in opposition to a petition, and (e) the
number of copies of any document that may be filed. There are
closely related rules which are published in 29 C.F.R. § 2200.90
and
. Rule 90 concerns the contents of a decision
of this kind; the aforementioned docketing of this Judge's report
by the Executive Secretary; and the correction of errors and
relief from default. Rule
describes review by the
[Commission] -- its jurisdiction and the standards that are
applied concerning issues that are raised by the parties or
otherwise may exist. The text of these rules is also appended.
Date
.
Judge, OSHRC
APPENDIX I - FORMS
236
NOTE:
Adapted from Notice used by the Occupational Safety and
Health Review Commission.
Notice of Judge's DecisionForm 21-b
(Unfavorable decision, court remand case)
Notice of Administrative Law Judge Decision -- Denial
PLEASE READ CAREFULLY
Name of Claimant
Street Address
City, State
Enclosed is the Administrative Law Judge's decision on your
claim. This notice gives you information about what you can do
if you disagree with the decision. Please rad this notice and
the decision carefully.
If You Disagree With This Decision:
If you disagree with this decision, you may appeal to the Appeals
Counsel. You must do this by filing written Exceptions.
Exceptions are your statements explaining why you disagree with
the decision of the Administrative Law Judge.
Mail the written statement of your exceptions to the Appeals
Council, Office of Hearings and Appeals . . . .
You must file your written exceptions within 30 days from the
date you receive this notice. The Appeals Council assumes that
you receive this notice within five days after the date at the
end of this notice unless you show that you did not receive it
within the five day period.
If you need more time to file your written exceptions, you
must file a written request for additional time with the Appeals
Council within 30 days of the date you receive this notice. If
you request more than a 30-day extension of time, you must
explain why you need the extra time.
Please include the Social Security Number(s) shown on the
decision on any paper you send to the Appeals Council.
The Appeals Council will consider your exceptions and the
parts of the decision that you disagree with. The Appeals
Council may also consider those parts which you do not disagree
with.
APPENDIX I - FORMS
237
If the Appeals Council concludes that further action is
necessary, it will either return your case to an Administrative
Law Judge, for further action or issue a decision. If the
Appeals Council issues a decision, that decision may be either
more or less favorable to you than the decision of the
Administrative Law Judge.
If the Appeals Council concludes that there is no reason to
change the Administrative Law Judge's decision, it will notify
you in writing why your exceptions do not warrant a change.
If you submit written exceptions and the Appeals Council does
not change the decision of the Administrative Law Judge, that
decision becomes the final decision of the Secretary after
remand.
Any future claims you may file will not change a final
decision on this claim if the facts and issues are the same.
If You Do Not File Written Exceptions:
Even if you do not file written exceptions within 60 days from
the date shown below, the Appeals Council may review your case on
its own motion. The Appeals Council will notify you if it
decides to review your case and will advise you what action it
proposes to take.
If the Appeals Council does not review your case on its own
motion and you do not submit exceptions, we will forward a copy
of the decision and transcript of the record in your case to the
United States Attorney, for filing with the court.
You have the right to pursue your civil action with the court.
New Application:
You have the right to file a new application at any time, but
filing a new application is not the same as filing exceptions to
this decision. You might lose benefits if you file a new
application instead of filing written exceptions to this
decision. Therefore, if you disagree with this decision, you
should file your exceptions within 30 days.
If you have any questions, please contact
.
APPENDIX I - FORMS
238
This Notice and enclosed copy of decision mailed
.
cc. Name & Address of Representative
cc. [as applicable]
NOTE:
This form is adapted from a notice used by the Social
Security Administration.
APPENDIX I - FORMS
239
Order Appointing Settlement Judge
Form 22
UNITED STATES OF AMERICA
AGENCY
[Case Caption/Title]
Docket No.
ORDER
1. There being no objection, the Secretary
of/complainant's/respondent's
motion for the appointment
of a settlement judge pursuant to [29 C.F.R. § 2200.101] is
hereby granted.
[Because there has been no objection, there is
an implied consent for the use of the settlement judge
procedure.]
. It is therefore determined that
there is a reasonable prospect of settlement of at least a
substantial portion of this case with the assistance of mediation
by a settlement judge.
2. The case is hereby assigned to Administrative Law Judge
, who will serve as the settlement
judge, pursuant to applicable rules and regulations. Judge
's service as settlement judge in this case and related
negotiations will be for a period not to exceed 45 days, unless
such period is extended pursuant to applicable rules and
regulations.
[Chief Administrative Law Judge]
Date:
.
NOTE:
Adapted from an Order issued by the Chief Administrative
Law Judge of the Occupational Safety and Health Review
Commission.
APPENDIX I - FORMS
240
Order re: Filing of Electronic Word Processing
Form 23
Files in Complex Case
Caption
ORDER
A review of the complaint in this case indicates a likelihood
that this case could become factually and legally complex.
Therefore, in order to address the issues more readily, the
parties are directed to provide the Judge, for each document
greater than two (2) pages in length, an electronic copy of the
document on a MS/Dos 51/4 or other suitable floppy diskette in
WordPerfect 5.0 format, or in a format capable of being converted
by WordPerfect 5.0. Diskettes need not be furnished for
complaint and answer. The diskette(s) shall be transmitted to
the
in an envelope or mailer, designed for
that purpose, at the time of filing the printed document.
Receipt of the diskette does not constitute filing or affect the
time of the filing of the document (hard copy).
IT IS SO ORDERED.
Administrative Law Judge
NOTE:
Adapted from an order used by a Judge of the United
States Claims Court.
APPENDIX II - SELECTED BIBLIOGRAPHY: ALTERNATIVE DISPUTE
RESOLUTION (INCLUDING WEBSITES)
241
APPENDIX II
SELECTED BIBLIOGRAPHY: ALTERNATIVE DISPUTE RESOLUTION (including
websites)
Administrative Conference of the United States (Milhauser & Pou
eds.). Sourcebook, Federal Agency Use of Alternative Means of
Dispute Resolution. Washington, DC: 1987.
American Bar Association, Standing Committee on Dispute
Resolution. Alternative Dispute Resolution: An ADR Primer, 3rd
ed. Washington, DC: ABA Standing Committee on Dispute Resolution,
1989.
American Bar Association, Section of Administrative Law &
Regulatory Practice (Marshall J. Berger, Deborah Schick Laufer,
and Gerald S. Schatz, eds.),
Federal Administrative Dispute
Resolution Deskbook. ABA 2001
Brett, Jeanne, Stephen B. Goldberg and William Ury, Designing
Systems for Resolving Disputes in Organizations," The American
Psychologist, February 1990
Bush, Robert A. Baruch, and, Joseph P Folger, The Promise of
Mediation, Jossey-Bass: San Francisco, 1994
CPR Legal Program. CPR Practice Guide: Confidentiality in ADR.
New York: Center for Public Resources, 1989.
Coglianese, Cary, Assessing Consensus: The Promise and
Performance of Negotiated Rulemaking, 46 Duke L.J. 1255 (1997).
Crowell, Eldon H. and Charles Pou, Jr. Appealing Government
Contract Decisions: Reducing the Cost and Delay of Procurement
Litigation with Alternative Dispute Resolution Techniques. 1987
Recommendations and Reports of the Administrative Conference
("ACUS") 1139, reprinted in 49 Maryland Law Review 183-254 (1990).
APPENDIX II - SELECTED BIBLIOGRAPHY: ALTERNATIVE DISPUTE
RESOLUTION (INCLUDING WEBSITES)
242
Edward A. Dauer, et al.,
Manual of Dispute Resolution: ADR Law &
Practice. Clark Boardman Callaghan, 1996.
Fine, Erika S., and Elizabeth S. Plapinger, eds. for the CPR
Legal Program. Containing Legal Costs: ADR Strategies for
Corporations, Law Firms, and Government. Butterworth Legal
Publishers, 1988.
Fisher, Roger, and William Ury. Getting to YES: Negotiation
Agreement without Giving In. 2d ed. (Penguin 1991).
Fisher, Roger and Danny Ertel, Getting Ready to Negotiate, The
Getting to Yes® Workbook, a Step-by-Step Guide to Preparing for
Any Negotiation (Penguin, 1995).
Claire B. Gallant, Mediation in Special Education Disputes
(National Association of Social Workers 1982).
Goldberg, Stephen B., Frank E.A. Sander, and Nancy H. Rogers.
Dispute Resolution. 3d ed., Panel Pubs.1999.
Grassley, Senator Charles E. and Pou, Charles Jr., Congress, the
Executive Branch and the
Dispute Resolution Process, 1992 J. Disp. Resol. 1 (1992)
(addressing the Administrative Dispute Resolution Act and other
agency dispute resolution matters).
Gring, Pamela, The Special Master’s Role as Mediator, 6 Ohio St.
J. Dispute Resol. 21 (1990)
Harter, Phillip J. Neither Cop Nor Collection Agency: Encouraging
Administrative Settlements by Ensuring Mediator Confidentiality,
Report to the Administrative Conference of the U.S. of the U.S.,
1988 ACUS 839.
Harter, Phillip J. Points on a Continuum: Dispute Resolution
Procedures and the Administrative Process, Report to the
Administrative Conference of the U.S.. 1986 ACUS 165, reprinted
APPENDIX II - SELECTED BIBLIOGRAPHY: ALTERNATIVE DISPUTE
RESOLUTION (INCLUDING WEBSITES)
243
in 1 Admin. L. J. 141 (1987).
Heifetz, Alan W.,
ALJs, ADR, and ADP: The Future of
Administrative Adjudication, 1 Widener Journal of Public Law 13
(1992) (Symposium: Administrative Law in the Twenty-First
Century).
Herrman, M.S., On Balance: Promoting Integrity Under Conflicted
Mandates, Mediation Quarterly, Volume 11, Number 2, (Winter
1993): 123-138.
Joseph, Daniel & Michelle L. Gilbert. Breaking the Settlement
Ice: The Use of Settlement Judges in Administrative Proceedings,
Report to the Administrative Conference of the U.S. 1988 ACUS
281, reprinted in 3 Admin. L. J. 571 (1990).
Hinchcliff, Carole L. Dispute Resolution: A Selected
Bibliography, 1987-88. Washington, DC: American Bar Association,
Standing Committee on Dispute Resolution.
Model Standards of Conduct for Mediators: American Arbitration
Association American Bar Association Society of Professionals in
Dispute Resolution, 17 J. NAALJ 323 (1997).
Mullins, Morell. The Use of Settlement Judges and Simplified
Proceedings before the Occupational Safety and Health Review
Commission. Report to the Administrative Conference of the U.S.
1990 ACUS 495, reprinted, with some revisions in, 5 Admin. L. J.
555 (1991).
Patterson, Roger. Dispute Resolution in a World of Alternatives,
37 Catholic University Law Review 591-604 (1988).
Pritzker et al., eds., Negotiated Rulemaking Sourcebook (US GPO
1990)
Ray, Larry. "Emerging Options in Dispute Resolution." ABA Journal
APPENDIX II - SELECTED BIBLIOGRAPHY: ALTERNATIVE DISPUTE
RESOLUTION (INCLUDING WEBSITES)
244
75, (June 1989): 66-68.
Riskin, L.L. Two Concepts of Mediation in the FHMA’s Farmer-
Lender Mediation Program” 45 Administrative Law Review 21-64
(1993).
Rogers, Nancy, and Craig McEwen, Mediation: Law, Policy and
Practice, Second Edition, Clark Boardman Callaghan: Deerfield,
Illinois, 1994
Stewart, Kenneth P.,
Take the "Alternative" Out of Alternative
Dispute Resolution; Results of an ADR Survey of Administrative J
udges, 62 The Journal of the Kansas Bar Association 14 (Jan.
1993).
Susskind, Lawrence E, and Patrick Field, Dealing with an Angry
Public: The Mutual Gains Approach to Resolving Disputes (Free
Press 1996).
Warfield, Wallace,
The Implications of ADR Processes for
Decisionmaking in Administrative Disputes, 16 Pepperdine Law
Review S93 (1989).
SELECTED FEDERAL ADR WEBSITES
(As with all websites and web pages, changes may occur without
notice. The websites below were provided by Deborah Schick
Laufer. Ms. Laufer (BA, Barnard College, Columbia University; JD,
Georgetown University Law Center) is an attorney and mediator,
who also is Director of the Federal ADR Network and is co-editor
of the Federal Administrative Dispute Resolution Deskbook (ABA
2001)
FEDERAL ADR RESOURCES
Army Corps of Engineers - Early Resolution Program
http://144.3.144.209/corpusdata/usace/inet/usace-docs/eng-regs/er690-1-693/basdoc.pdf
Army Corps of Engineers - Institute for Water Resources
APPENDIX II - SELECTED BIBLIOGRAPHY: ALTERNATIVE DISPUTE
RESOLUTION (INCLUDING WEBSITES)
245
Alternative Dispute Resolution
http://www.wrsc.usace.army.mil/iwr/AlternativeDisputeResolution/ADR.htm
ACE -- Interest-Based Negotiation
http://www.wrsc.usace.army.mil/iwr/AlternativeDisputeResolution/ADRibn.htm
ACE -- ADR Continuum - Description of Methods
http://www.wrsc.usace.army.mil/iwr/AlternativeDisputeResolution/ADRom.htm
Army Corps of Engineers - Partnering
http://www.hq.usace.army.mil/cemp/c/partner.htm
http://www.hq.usace.army.mil/cepa/pubs/partner.htm
http://www.hq.usace.army.mil/cemp/c/partgui8.wpd
Army Materiel Command
Alternative Dispute Resolution (ADR) Program
http://www.amc.army.mil/amc/command_counsel/index.htm
(Select "ADR" on the site index.)
Council of Federal EEO and Civil Rights Executives
http://www.fedcivilrights.org
Defense Logistics Agency, ADR Home Page
http://www.dscc.dla.mil/offices/doccr/adr/adr.html
DLA ADR Specialist's Training Manual
http://www.dscc.dla.mil/downloads/doccr/adr/adrtrain.doc
Department of Agriculture
Animal and Plant Health Inspection Agency
(APHIS); Conflict Prevention and Resolution Homepage
http://www.aphis.usda.gov/opd/cpr.html
Department of Agriculture
Conflict Prevention and Resolution Center
http://www.usda.gov/cprc/
APPENDIX II - SELECTED BIBLIOGRAPHY: ALTERNATIVE DISPUTE
RESOLUTION (INCLUDING WEBSITES)
246
Department of Agriculture, Farm Service Agency
Agricultural Mediation Program
http://www.fsa.usda.gov/pas/publications/facts/html/mediate01.htm
Department of Agriculture: Research, Education, and Economics,
Cooperative Resolution Program
http://www.ars.usda.gov/afm2/coopres/
Department of the Air Force, ADR Home Page
http://www.adr.af.mil./
Department of the Air Force, ADR Guidance for Air Force
Acquisitions
http://www.adr.af.mil/acquisition/index.html
Department of Energy, Office of Dispute Resolution
http://www.gc.doe.gov/adr/index.html
Department of Health and Human Services, Departmental Appeals
Board, ADR Division
http://www.os.dhhs.gov/progorg/dab/
Department of the Interior, Bureau of Land Management
Alternative Dispute Resolution Page
http://www-a.blm.gov/nradr/
Department of the Interior, Bureau of Reclamation
Conflict Management Guidebook
http://www.usbr.gov/hr/conflict/
Department of Justice, ADR Homepage
http://www.usdoj.gov/disputeresolution.htm
Department of Justice,
Americans with Disabilities Act Mediation Program
http://www.usdoj.gov/crt/ada/mediate.htm
Department of Justice, Office of Dispute Resolution
APPENDIX II - SELECTED BIBLIOGRAPHY: ALTERNATIVE DISPUTE
RESOLUTION (INCLUDING WEBSITES)
247
http://www.usdoj.gov/odr/
Department of Justice, Report to the President on Alternative
Dispute Resolution (January 2001)
http://www.financenet.gov/financenet/fed/iadrwg/presi-report.htm
Department of Justice, Voluntary Civil Dispute
Resolution Policy, Issued March 1999
http://www.usdoj.gov/crt/adr/broch.html
Department of Labor, Alternative Dispute Resolution
http://www.dol.gov/dol/asp/public/programs/adr/main.htm
Department of Labor, Early Resolution of EEO Complaints Program
(EREC)
http://www.dol.gov/dol/oasam/public/regs/compliance/erec_pol.htm
Department of Labor, Settlement Judge Program
http://www.oalj.dol.gov/settlement_judge.htm
Department of the Navy, ADR Website
http://ogc.navy.mil/ogcwww/adr/
Department of the Navy, ADR Lessons Learned
http://ogc.navy.mil/ogcwww/adr/LessonsLearned.html
Department of the Navy, Mediator Certification
http://ogc.navy.mil/adr/Mediacert.html
Department of the Navy, Principles of Conflict Resolution
http://ogc.navy.mil/principles.html
Department of Transportation, ADR Homepage
http://www.dot.gov/adr
Department of Veterans Affairs, Dispute Resolution Programs
http://www.va.gov/adr/descript.htm
APPENDIX II - SELECTED BIBLIOGRAPHY: ALTERNATIVE DISPUTE
RESOLUTION (INCLUDING WEBSITES)
248
Environmental Protection Agency, Administrative Law Judges, ADR
Neutrals for Superfund Cases
http://www.epa.gov/aljhomep/about.htm
Environmental Protection Agency, Region 1, ADR Page
http://www.epa.gov/region01/steward/adr/index.html
Equal Employment Opportunity Commission, Mediation
http://www.eeoc.gov/mediate/index.html
Federal ADR Program Managers' Resource Manual
http://www.financenet.gov/financenet/fed/iadrwg/manual/
