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§ 1.102 Words denoting number, gen

der and so forth. In determining the meaning of any provision of this chapter, unless the context indicates otherwise:

(a) The singular includes the plural; (b) The plural includes the singular;

(c) The present tense includes the future tense; and

(d) Words of one gender include the other gender.

Subpart A-Definitions and Rules

of Construction

[Order 225, 47 FR 19022, May 3, 1982]

PART Ib-RULES RELATING TO

INVESTIGATIONS

8 1.101 Definitions.

The definitions set forth in this section apply for purposes of this chapter, except as otherwise provided in this chapter:

(a) Commission means the Federal Energy Regulatory Commission.

(b) Chairman means the Chairman of the Commission.

(c) Commissioner and Member mean a member of the Commission.

(d) Secretary means the Secretary of the Commission.

(e) Executive Director means the Executive Director of the Commission.

(f) General Counsel means the General Counsel of the Commission.

(g) DOE Act means the Department of Energy Organization Act.

(h) DOE means the Department of Energy.

(i) Administrative law judge means an officer appointed under section 3105 of title 5 of the United States Code.

(j) Attorney means an attorney admitted to practice before the Supreme Court of the United States or the highest court of any State, territory of the United States, or the District of Columbia, or any other person with the requisite qualifications to represent others, who acts in a representative capacity for any participant before the Commission.

(k) State Commission means the regulatory body of any State or municipality having jurisdiction to regulate rates or charges for the sale of electric

Sec. 16.1 Definitions. 1b.2 Scope. 1b.3 Scope of investigations. 16.4 Types of investigations. 16.5 Formal Investigations. 10.6 Preliminary investigations. 1b.7 Procedure after investigation. 1b.8 Requests for Commission investiga

tions. 1b.9 Confidentiality of investigations. 1b.10 By whom conducted. 1b.11 Limitation on participation. 16.12 Transcripts. 1b.13 Powers of persons conducting formal

investigations. 1b.14 Subpoenas. 16.15 Non-compliance with compulsory

processes. 1b.16 Rights of witnesses. 1b.17 Appearance and practice before the

Commission. 1b.18 Right to submit statements. 1b.19 Submissions. 16.20 Request for confidential treatment.

AUTHORITY: Natural Gas Act, 15 U.S.C. 717 et seq.; Federal Power Act, 16 U.S.C. 792 et seq.; Interstate Commerce Act, 49 U.S.C. 1 et seq.; Department of Energy Organization Act, Pub. L. 95-91; E.O. 12009, 42 FR 46267.

SOURCE: 43 FR 27174, June 23, 1978, unless otherwise noted.

ings, initiate injunctive proceedings in the courts, refer matters, where appropriate, to the other governmental authorities, or take other appropriate action.

8 1b.1 Definitions.

For purposes of this part

(a) Formal investigation means an investigation instituted by a Commission Order of Investigation.

(b) Preliminary Investigation means an inquiry conducted by the Commission or its staff, other than a formal investigation.

(c) Investigating officer means the individual(s) designated by the Commission in an Order of Investigation as Officer(s) of the Commission.

8 1b.2 Scope.

This part applies to investigations conducted by the Commission but does not apply to adjudicative proceedings.

g 1b.8 Requests for Commission inves

tigations. (a) Any individual, partnership, corporation, association, organization, or other Federal or State governmental entity, may request the Commission to institute an investigation.

(b) Requests for investigations should set forth the alleged violation of law with supporting documentation and information as completely as possible. No particular forms or formal procedures are requested.

(c) It is the Commission's policy not to disclose the name of the person or entity requesting an investigation except as required by law, or where such disclosure will aid the investigation.

8 1b.3 Scope of investigations.

The Commission may conduct investigations relating to any matter subject to its jurisdiction.

$ 1b.4 Types of investigations.

Investigations may be formal or preliminary, and public or private.

& 1b.5 Formal investigations.

The Commission may, in its discretion, initiate a formal investigation by issuing an Order of Investigation. Orders of Investigation will outline the basis for the investigation, the matters to be investigated, the officer(s) designated to conduct the investigation and their authority. The director of the office responsible for the investigation may add or delete Investigating Officers in the Order of Investigation.

8 1b.9 Confidentiality of investigations.

All information and documents obtained during the course of an investigation, whether or not obained pursuant to subpoena, and all investigative proceedings shall be treated as nonpublic by the Commission and its staff except to the extent that (a) the Commission directs or authorizes the public disclosure of the investigation; (b) the information or documents are made a matter of public record during the course of an adjudicatory proceeding; or (c) disclosure is required by the Freedom of Information Act, 5 U.S.C. 552. Procedures by which persons submitting information to the Commission during the course of an investigation may specifically seek confidential treatment of information for purposes of Freedom of Information Act disclosure are set forth in 18 CFR part 3b and $ 1b.20. A request for confidential treatment of information for purposes of Freedom of Information Act disclosure shall not, however, prevent disclosure for law enforcement purposes or when disclosure is otherwise found appropriate in the public interest and permitted by law.

8 1b.6 Preliminary investigations.

The Commission or its staff may, in its discretion, initiate a preliminary investigation. In such investigations, no process is issued or testimony compelled. Where it appears from the preliminary investigation that a formal investigation is appropriate, the staff will so recommend to the Commission.

8 1b.7 Procedure after investigation.

Where it appears that there has been or may be a violation of any of the provisions of the acts administered by the Commission or the rules, opinions or orders thereunder, the Commission may institute administrative proceed

g 1b.10 By whom conducted.

Formal Commission investigations are conducted by the Commission or by

other records relevant or material to the investigation.

an individual(8) designated and authorized in the Order of Investigation. Investigating Officers are officers within the meaning of the statutes administered by the Commission and are authorized to perform the duties of their office in accordance with the laws of the United States and the regulations of the Commission. Investigating Officers shall have such duties as the Commission may specify in' an Order of Investigation.

8 lb.11 Limitation on participation.

There are no parties, as that term is used in adjudicative proceedings, in an investigation under this part and no person may intervene or participate as a matter of right in any investigation under this part. Section 2.72 of the rules is specifically not applicable to private investigations conducted by the Commission or its staff.

g 1b.14 Subpoenas.

(a) Service of a subpoena upon a person named therein shall be made be the investigating officer (1) by personal delivery, (2) by certified mail, (3) by leaving a copy thereof at the principle office or place of business of the person to be served, (4) or by delivery to any person designated as agent for service or the person's attorney.

(b) At the time for producing documents subpoenaed in an investigation, the subpoenaed party shall submit a statement stating that, if true, such person has made a diligent search for the subpoenaed documents and is producing all the documents called for by the subpoena. If any subpoenaed document(s) are not produced for any reason, the subpoenaed party shall state the reason therefor.

(c) If any subpoenaed documents in an investigation are withheld because of a claim of the attorney-client privilege, the subpoenaed party shall submit a list of such documents which shall, for each document, identify the attorney involved, the client involved, the date of the document, the person(s) shown on the document to have prepared and/or sent the document, and the person(s) shown on the document to have received copies of the document.

8 1b.12 Transcripts.

Transcripts, if any, of investigative testimony shall be recorded solely by the official reporter, or by any other person or means designated by the investigating officer. A witness who has given testimony in an investigation shall be entitled, upon written request, to procure a transcript of the witness' own testimony on payment of the appropriate fees, except that in a nonpublic formal investigation, the office responsible for the investigation may for good cause deny such request. In any event, any witness or his counsel, upon proper identification, shall have the right to inspect the official transcript of the witness' own testimony. This provision supersedes $385.1904(b) of this chapter.

8 1b.15 Non-compliance with compul

sory processes. In cases of failure to comply with Commission compulsory processes, appropriate action may be initiated by the Commission or the Attorney General, including but not limited to actions for enforcement or the imposition of penalties.

[43 FR 27174, June 23, 1978, as amended by Order 225, 47 FR 19054, May 3, 1982]

8 16.13 Powers of persons conducting

formal investigations. Any member of the Commission or the Investigating Officer, in connection with any formal investigation ordered by the Commission, may administer oaths and affirmations, subpoena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, contracts, agreements or

1b.16 Rights of witnesses.

(a) Any person who is compelled or requested to furnish documentary evidence or testimony in a formal investigation shall, upon request, be shown the Commission's Order of Investigation. Copies of Orders of Investigation shall not be furnished, for their retention, to such persons requesting the same except with the express approval of the director of the office responsible for the investigation. Such approval shall not be given unless the director of the office responsible for the investigation, in the director's discretion is satisfied that there exist reasons consistent with the protection of privacy of persons involved in the investigation and with the unimpeded conduct of the investigation.

(b) Any person compelled to appear, or who appears in person at a formal investigation by request or permission of the Investigating Officer may be accompanied, represented and advised by counsel, as provided by $385.2101 of this chapter and these rules, except that all witnesses shall be sequestered and, unless permitted in the discretion of the Investigating Officer, no witness or the counsel accompanying any such witness shall be permitted to be present during the examination of any other witness called in such proceeding. When counsel does represent more than one person in an investigation, for example, where the counsel is counsel to the witness and his employer, said counsel shall inform the Investigating Officer and each client of said counsel's possible conflict of interest in representing that client and, if said counsel appears with a witness giving testimony on the record in an investigation, counsel shall state on the record all persons said counsel represents in the investigation.

(c) Any witness may be accompanied, represented, and advised by counsel as follows:

(1) Counsel for a witness may advise the witness, in confidence, upon his initiative or the witness' with respect to any question, and if the witness refuses to answer a question, then the witness or counsel may briefly state on the record the legal grounds for such refusal.

(2) Where it is claimed that the witness has a privilege to refuse to answer a question on the grounds of self-incrimination, the witness must assert the privilege personally.

(3) Following completion of the examination of a witness, such witness may make a statement on the record and his counsel may on the record question the witness to enable the witness to clarify any of the witness' answers or to offer other evidence.

(4) The Investigating Officer shall take all necessary action to regulate the course of the proceeding to avoid delay and prevent or restrain obstructionist or contumacious conduct or contemptuous language. Such officer may report to the Commission any instances where an attorney or representative has refused to comply with his directions, or has engaged in obstructionist or contumacious conduct or has used contemptuous language in the course of the proceeding. The Commission may thereupon take such further action as the circumstances may warrant, including suspension or disbarment of counsel from further appearance or practice before it, in accordance with 8385.2101 of this chapter, or exclusion from further participation in the particular investigation.

(d) Unless otherwise ordered by the Commission, in any public formal investigation, if the record shall contain implications of wrongdoing by any person, such person shall have the right to appear on the record; and in addition to the rights afforded other witnesses hereby, he shall have a reasonable opportunity of cross-examination and production of rebuttal testimony or documentary evidence. Reasonable shall mean permitting persons as full an opportunity to assert their position as may be granted consistent with administrative efficiency and with avoidance of undue delay. The determinations of reasonableness in each instance shall be made in the discretion of the investigating officer.

(43 FR 27174, June 23, 1978, as amended by Order 225, 47 FR 19054, May 3, 1982]

§ 1b.17 Appearance and practice be

fore the Commission. The provisions of subpart U of part 385 of this chapters are specifically applicable to all investigations.

(43 FR 27174, June 23, 1978, as amended by Order 225, 47 FR 19054, May 3, 1982]

$ 1b.18 Right to submit statements.

Any person may, at any time during the course of an investigation, submit documents, statements of facts or memoranda of law for the purpose of explaining said person's position or furnishing evidence which said person

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