[Code of Federal Regulations]
[Title 18, Volume 1]
[Revised as of April 1, 2001]
From the U.S. Government Printing Office via GPO Access
[CITE: 18CFR385.411]

[Page 902-903]
 
           TITLE 18--CONSERVATION OF POWER AND WATER RESOURCES
 
  CHAPTER I--FEDERAL ENERGY REGULATORY COMMISSION, DEPARTMENT OF ENERGY
 
PART 385--RULES OF PRACTICE AND PROCEDURE--Table of Contents
 
   Subpart D--Discovery Procedures for Matters Set for Hearing Under 
                                Subpart E
 
Sec. 385.411  Sanctions (Rule 411).

    (a) Disobedience of order compelling discovery. If a participant or 
any other person fails to obey an order compelling discovery, the 
presiding officer may, after notice to the participant or person and an 
opportunity to be heard, take one or more of the following actions, but 
may not dismiss or otherwise terminate the proceeding:
    (1) Certify the matter to the Commission with a recommendation for 
dismissal or termination of the proceeding, termination of that 
participant's right to participate in the proceeding, institution of 
civil action, or any other sanction available to the Commission by law;
    (2) Order that the matters to which the order compelling discovery 
relates are taken as established for the purposes of the proceeding in 
accordance with the position of the participant obtaining the order;
    (3) Order that a participant be precluded from supporting or 
opposing such positions or introducing such matters in evidence as the 
presiding officer designates;
    (4) Order that all or part of any pleading by a participant be 
struck or that the proceeding or a phase of the proceeding be stayed 
until the order compelling discovery is obeyed; and
    (5) Recommend to the Commission that it take action under Rule 2102 
against a representative of the participant if the presiding officer 
believes that the representative has engaged in unethical or improper 
professional conduct.
    (b) Against representative of a participant. If the person 
disobeying an order

[[Page 903]]

compelling discovery is an agent, officer, employee, attorney, partner, 
or director of a participant, the presiding officer may take any of the 
actions described in paragraph (a) against that participant.