of proposed alterations or surrenders of license under section 6 of the Federal Power Act may be given by filing and publication in the FEDERAL REGISTER as provided in § 1.19 (a), and, where deemed desirable by the Commission, by local newspaper advertisement. Notice of rates charged and changes therein is provided for by the filing requirements of Parts 35 and 154 of this chapter. Any other notice required by statute, rule, regulation, or order, or deemed desirable, may be given by filing and publication in the FEDERAL REGISTER as provided in § 1.19(a) or by service as provided in § 1.17(a).

(b) Notice and publication of decisions, rules, statements of policy, organization, and operations. Service of intermediate and final decisions upon parties to the proceedings is provided in § 1.30 (a), (b), and (i). Descriptions of the Commission's organization, its methods of operation, statements of policy and interpretations, procedural and substantive rules, and amendments thereto will be filed with and published in the FEDERAL REGISTER. Commission opinions together with accompanying orders, Commission orders, and intermediate decisions will be released to the press and made available to the public promptly. Copies of Commission opinions, orders in the nature of opinions, rulemaking and selected procedural orders, and intermediate decisions which have become final are published in the Federal Power Commission Reports (____FPC____) and may be procured from the Superintendent of Documents, United States Government Printing Office, Washington, D.C. 20402, upon payment of prescribed charges.

(c) Public records. The public records of the Commission, available upon specific request for inspection and copying during regular business hours in the public reference room maintained by the Office of Public Information, include: (1) All submittals and filings as follows:

(i) applications, declarations, complaints (both formal and informal), petitions and other papers seeking Commission action;

(ii) financial and statistical and other reports to the Commission (except for the Curtailments of Main Line Industrial Customers" reports filed as a supplement to Form No. 2), power system statements, statements of claimed cost of licensed projects, original cost and reclassification studies, proposed accounting entries, certificates of notification (under section 204 (e) of the Federal

Power Act), rates or rate schedules and related data and concurrences, and other filings and submittals to the Commission in compliance with the requirement of any statute, executive order, or Commission rule, regulation, order, license, or permit;

(iii) all answers, replies, responses, objections, protests, motions, stipulations, exceptions, other pleadings, notices, depositions, certificates, proofs of service, transcripts or oral arguments, and briefs in any matter or proceeding;

(iv) all exhibits, attachments and appendices to, amendments and corrections of, supplements to, or transmittals or withdrawals of, any of the foregoing;

(v) any Commission correspondence relating to any of the foregoing.

(2) All other parts of the formal record in any matter or proceeding set for formal or statutory hearing and any Commission correspondence related thereto. "Matter or proceeding" means the Commission's elucidation of the relevant facts and applicable law, consideration thereof, and action thereupon with respect to a particular subject within the Commission's jurisdiction, initiated by a filing or submittal or a Commission notice or order. "Formal record" includes in addition to all the filings and submittals in a matter or proceeding, any notice or Commission order initiating the matter or proceeding, and, if a hearing is held, the following: the designation of the presiding officer, transcript of hearing, all exhibits received in evidence, all exhibits offered but not received in evidence, offers of proof, motions, stipulation, subpenas, proofs of service, reference to the Commission, and determinations made by the Commission thereon, certifications to the Commission, and anything else upon which action of the presiding officer or the Commission may be based; it does not include any unaccepted offer of settlement made by a party in the course of a proceeding and not formally submitted to the Commission.

(3) Any proposed testimony or exhibit filed with the Commission but not yet offered or received in evidence.

(4) All presiding officer actions and all presiding officer correspondence and memoranda to or from others with the exception of internal communications within the Office of Hearing Examiners.

(5) All Commission orders, notices, findings, opinions, determinations, and

other actions in any matter or proceeding and all Commission minutes which have been approved.

(6) All Commission correspondence relating to any furnishing of data or information, except to or by another branch, department, or agency of the Government.

(7) Commission correspondence1 with respect to the furnishing of data, information, comments, or recommendations to or by another branch, department, or agency of the Government where furnished to satisfy a specific requirement of a statute or where made public by that branch, department or agency.

(8) Commission correspondence and reports on legislative matters under consideration by the Bureau of the Budget or Congress but only if and after made public or released for publication by that Bureau or the Committee or Member of Congress involved.

(9) Staff reports on statements of claimed cost by licensees where such reports have been served on the licensee.

(10) Commission correspondence on interpretation of the Uniform System of Accounts and letters on such interpretation signed by the Chief Accountant and sent to others than the Commission, a Commissioner, or any of the staff.

(11) Commission correspondence on the interpretation or applicability of any statute, rule, regulation, order, license, or permit issued or administered by the Commission and letters of opinion on that subject signed by the General Counsel and sent to others than the Commission, a Commissioner, or any of the staff.

(12) Copies of all filings, certifications, pleadings, records, briefs, orders, judgments, decrees, and mandates in court proceedings to which the Commission is a party and all correspondence with the courts or clerks of court.

(13) The Commission's Administrative and Operating Manuals.

(14) All other records of the Commission except for those that are:

(i) Specifically required by Executive order to be kept secret in the interest of the national defense or foreign policy;

(ii) Related solely to the internal personnel rules and practices of an agency; (iii) Specifically exempted from disclosure by statute;

1 As defined in § 1.1(f) (22).

(iv) Trade secrets and commercial or financial information obtained from a person and privileged or confidential;

(v) Interagency or intra-agency memorandums or letters which would not be available by law to a party other than an agency in litigation with the agency;

(vi) Personnel and medical files and similar files the disclosure of which would constitute a clearly unwarranted invasion of personal privacy;

(vii) Investigatory files compiled for law enforcement purposes except to the extent available by law to a party other than an agency; or

(viii) Geological and geophysical information and data, including maps, concerning wells.

(15) The following are examples of information which is not part of the public records of the Commission:

(i) Files and records containing facts or information not permitted to be divulged by section 301 of the Federal Power Act or section 8 of the Natural Gas Act because knowledge thereof was gained during the course of examination of books, records, data, or accounts pursuant to those sections and divulgence thereof has not been ordered by the Commission;

(ii) Files and records classified under Executive Order No. 10501, 3 CFR, 194953 Comp., p. 979, for national security purposes;

(iii) The schedule entitled "Curtailments of Main Line Industrial Customers" prescribed as a supplement to FPC Form No. 2 by § 260.1 of this chapter;

(iv) Written communications between or among the Commission, members of the Commission, the Secretary, and expressly designated members of the staff while particularly assigned, in accordance with all applicable legal requirements, to aid the Commission in the drafting of any order and findings, with or without opinion in any matter or proceeding;

(v) Unaccepted offers of settlement in any matter or proceeding unless or until made public by act of the offeror.

(d) Other records. Records not made part of the public records by this section may be requested in writing, accompanied by a showing in support thereof, filed with the Secretary and will be made available for public reference upon good cause shown by order of the Commission

or the Chairman, where consistent with the public interest and permitted by the Commission's statutory authority.

(e) Procedure in event of withholding of public records. In any case where there is a question of interpretation under paragraph (c) of this section, the question shall be resolved informally, if possible, by the Director of the Office of Public Information. If the question cannot be resolved informally, the person seeking such record may request the Secretary, by petition filed pursuant to § 1.7, to make such record available for inspection and copying. The Secretary shall either cause the record to be made available or shall state in writing the basis for his determination that the document requested is not a public record under paragraph (c) of this section. If the Secretary denies the petition, the person seeking the record may appeal such denial to the Commission by petition conforming to the requirements of §§ 1.15 through 1.17.

(f) Procedure in event of subpoena. If an officer or employee of the Commission is served with a subpoena duces tecum, material which is not part of the public files and records of the Commission shall be produced only as authorized by the Commission. Service of such a subpoena shall immediately be reported to the Commission with a statement of all relevant facts. The Commission will thereupon enter such order or give such instructions as it deems advisable. [Order 351, 32 FR. 10062, July 8, 1967] § 1.37 Cooperative procedure with State commissions.

(a) Policy. (1) The Federal Power and Natural Gas Acts, sections 209 and 17, respectively, authorize cooperation between the Federal Power Commission and the State commissions of the several States in the administration of said acts, which include authorization for:

(i) Reference of any matter arising in the administration of these acts to a board to be composed of a member or members from a State or States affected, or to be affected, by the particular matters pending before the Federal Power Commission;

(ii) Conferences with State commissions regarding the relationship between rate structures, costs, accounts, charges, practices, classifications, and regulations

of public utilities or natural gas companies subject to the jurisdiction of such State commissions and of the Federal Power Commission; and

(iii) Joint hearings with State commissions in connection with any matter with respect to which the Federal Power Commission is authorized to act.

(2) The matters that should be the subject of a conference, referred to a board, or heard at a joint hearing of State commissions and the Federal Power Commission, obviously, cannot be determined in advance. It is understood, therefore, that the Federal Power Commission or any State commission will freely suggest cooperation with respect to any proceeding or matter affecting any public utility or natural gas company subject to the jurisdiction of the Federal Power Commission and of a State commission, and concerning which it is believed that cooperation will be in the public interest.

(b) Notice (1) By Federal Power Commission. (1) Whenever there shall be instituted before the Federal Power Commission any proceeding under either the Federal Power Act or the Natural Gas Act, the State commission or commissions of the State or States affected thereby will be given notice thereof immediately by the Federal Power Commission. As deemed necessary for an understanding of the subject matter, each such notice will be supplemented by copies of applications, complaints, petitions, or orders instituting proceedings. Each such notice given to a State commission will request that the Federal Power Commission be notified within a reasonable time whether the proceeding is deemed one that should be considered under the cooperative provisions of this section, and, if so, to advise the Federal Power Commission as to the nature of its interest in the matter, and further, to specify whether it desires a conference, the creation of a board, or a joint or concurrent hearing, as defined in this section, and the reasons for such request.

(ii) Any commission suggesting some form of such cooperative procedure should also state whether there is pending, or will be pending before it, a proceeding in which a concurrent hearing might appropriately be held and whether its proposal is for such hearing covering any such proceeding and the proceeding pending before the Federal Power Commission.

(iii) Any State commission recommending to the Federal Power Commission reference of a proceeding to a board, under either the Federal Power Act or the Natural Gas Act, should state with fullness the reasons which led it to believe that such reference is desirable and in the public interest.

(iv) Upon the receipt from a State commission of a communication suggesting cooperation, the Federal Power Commission will consider the same, and may confer with the commission making the request and with other interested commissions, if any, in such manner as may be most suitable, and, if cooperation in the manner proposed, or in any other manner, shall appear to be practicable and desirable, will so advise each interested State commission, and will invite it to participate therein.

(2) By State commission. (i) Each State commission should, in like manner, notify the Federal Power Commission of any proceeding instituted before it, the subject matter of which is also subject to the jurisdiction of the Federal Power Commission, or in which it believes the Federal Power Commission is interested. Such notice should be supplemented by copies of applications, petitions, complaints, or orders instituting proceedings which may be necessary to an understanding of the subject matter. notice should include such suggestions as the State commissions may wish to make concerning cooperative procedure.

Such

(ii) Upon receipt of such notice, the Federal Power Commission will consider the same and will promptly notify the State commission whether or not in its opinion cooperation in the manner proposed, or in any other manner, appears to be practicable and desirable. The Federal Power Commission shall be free to propose cooperative procedure, if deemed appropriate, whether or not such proposal of cooperation has been made by the State commission first giving notice of the proceeding.

(3) Federal Power Commission or State commissions to invite participation in cooperative procedure. In the event that cooperation in a particular proceeding has been determined upon, the Federal Power Commission or State commission before which the proceeding is pending will so advise each interested State commission and will invite it to take part therein.

(c) Conferences. Inasmuch as experience has proved that informal conferences are the means most often used to enable commissions to work together to promote good regulation, affording means whereby common understandings may be reached, and the imposition of inconsistent or conflicting regulations upon companies subject to both Federal and State control may be avoided, and means whereby State commissions may secure the assistance in State regulatory work which sections 209 and 17, respectively, of the Federal Power and Natural Gas Acts authorize the Federal Power Commission to extend, any commission, Federal or State, should always feel free to suggest a conference to another commission, concerning any matter of regulation subject to the jurisdiction of either, with respect to which it is believed that a cooperative conference may be in the public interest. The commission desiring a conference upon any such matter should notify other interested commissions without delay, and thereupon the Federal Power Commission or a State commission, as may be agreed, will promptly arrange for a conference in which all interested commissions will be invited to be represented.

(d) Procedure governing matters referred to a board. (1) It is believed that the statutory provisions of sections 209 and 17, respectively, of the Federal Power and Natural Gas Acts, for the reference of a proceeding to a board constituted as therein provided, were designed for use in unusual cases, and as a means of relief to the Federal Power Commission when it might find itself unable to hear and determine cases before it, in the usual course, without undue delay.

(2) Whenever the Federal Power Commission, either upon its own motion or upon the suggestion of a State commission or at the request of any interested party, shall determine that it is desirable to refer a matter arising in the administration either of the Natural Gas Act or Part II of the Federal Power Act, to a board to be composed of a member or members from the State or States affected or to be affected by such matter, the procedure will be as follows:

(3) The Federal Power Commission will send a request to each interested State commission to nominate a specified number of members to serve on such board. Whenever more than one State is involved, the representation of each State concerned shall be equal, unless one

or more of the States affected chooses to waive such right of equal representation. The Federal Power Commission will specify the functions to be performed by such board in each instance. When the member or members of any board have been nominated and appointed in accordance with the provisions of either section 209 of the Federal Power Act or section 17 of the Natural Gas Act, the Federal Power Commission will make an order referring the particular matter to such board, and such order shall fix the time and place of hearing, define the "force and effect" the action of the board shall have, the manner in which the proceedings shall be conducted, and specify the allowances to be made for the expense of the members of the board. As far as applicable, the rules of practice and procedure as from time to time adopted or prescribed by the Federal Power Commission shall govern such board. The board shall have authority to adjourn the hearing from day to day, subpena witnesses, rule on the relevancy, competency, and materiality of evidence, and shall, after hearing all interested parties, submit its report to the Federal Power Commission.

(e) Joint and concurrent hearings. (1) The term "joint hearing" used in sections 209 and 17, respectively, of the Federal Power and Natural Gas Acts is understood to cover any hearing in which members of the Federal Power Commission and members of one or more State commissions may sit together in a proceeding pending before one such commission, whether or not a proceeding or proceedings involving similar or corresponding issues be pending before any other commission.

(2) Two different types of proceedings have been called "joint hearings". One is that type of proceeding where members of one or more State commissions sit with members of the Federal Power Commission for information or in an advisory capacity. The State commissioners in such case do not develop a record for their respective commissions and may or may not, at their own discretion, make a recommendation to the Federal Power Commission. The other type of joint hearing is often referred to as a "concurrent hearing". Under this procedure the Federal Power Commission and one or more State commissions sit together to hear and jointly make a record upon a matter over which all of the participating commissions have jurisdiction and responsibility for action.

(3) The Federal Power Commission or any State commission or commissions should feel free to suggest or request a joint or concurrent hearing at any time. It is believed, however, that the concurrent hearing is the type of cooperative hearing which is likely to be most useful and effective.

(4) Whenever a concurrent hearing has been agreed upon by the Federal Power Commission and one or more State commissions, the procedure will be as follows:

(i) Each commission will designate the representative or representatives of such commission to sit at such concurrent hearing, and will designate the representative who will be the presiding officer for such commission.

(ii) It will be understood that participation in such concurrent hearing shall in no way affect the complete control by each commission of the proceeding before it. It will be understood, also, that participation in either a joint or concurrent hearing shall in no way preclude any commission from causing to be presented in any such case pertinent evidence with respect to matters in issue.

(iii) The representative designated by the Federal Power Commission will be the presiding officer to announce rulings with respect to which there is no disagreement; and all such rulings shall be considered concurrent rulings. However, the presiding officer for any commission which does not concur in any ruling may announce a divergent ruling and such divergent ruling, whether with respect to the admissibility of evidence or any other matter, shall be considered the ruling for his commission.

(iv) The record of the concurrent hearing shall be the record of each commission participating, except that, if divergent rulings are made, the rulings shall be so reported as to separate and distinguish clearly the record of the respective participating commissions and the evidence admitted in each record, in accordance with the rulings of the respective presiding officers of such participating commissions. If, in any proceeding, the ruling of one presiding officer has the effect of admitting any voluminous exhibit or testimony which is excluded by the ruling of another presiding officer, the taking of such evidence will, whenever possible be deferred until after the completion of all proceedings which can be conducted under concurrent rulings. When such testimony is