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the Federal Power Commission. 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 subject to the jurisdiction of said Federal Power Commission and of a State commission, and concerning which it is believed that cooperation will be in the public interest.
To enable this to be done, whenever a proceeding shall be instituted before any commission, Federal or State, in which another commission is believed to be interested, notice should be promptly given each such interested commission by the commission before which the proceeding has been instituted. Inasmuch, however, as failure to give notice as contemplated by the provisions of this plan will sometimes occur purely through inadvertence, any such fallure should not operate to deter any commission from suggesting that any such proceeding be made the subject matter of cooperative action, if cooperation therein is deemed desirable.
Section 39.1 Notice of institution of proceeding. (a) Whenever there shall be instituted before the Federal Power Commission any proceeding under part II of the Federal Power Act (49 Stat. 847; 16 U.S.C., Sup., 824–824h), the State commission or commissions of the State or States affected thereby will be notified immediately thereof by the Federal Power Commission, and each notice given a State commission will request such commission, if it deems the proceeding one which should be considered under the cooperative provisions of the Act, to notify the Federal Power Commission as to the nature of its interest in said matter, and to request a conference, the creation of a board, or a joint hearing, if desired, indicating its preference and the reasons therefor.
(b) Upon the receipt of such request 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 shall appear to be practicable and desirable, shall ‘so advise each interested State commission.
(c) 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.**
*98 39.1 to 39.5, inclusive, issued under the authority contained in secs. 301 (b), 308, 309, 49 Stat. 854, 858; 16 U.S.C., Sup., 825 (b), 825g, 825h : interpret sec. 209, 49 Stat. 853; 16 U.S.C., Sup., 824h.
tIn 88 39.1 to 39.5, inclusive, the numbers correspond with the respective section numbers in Rules of practice and regulations, Federal Power Commission, June 1, 1938.
39.2 Procedure governing joint conferences. The Federal Power Commission, in accordance with the indicated procedure, will confer with any State commission regarding any matter relating to the regulation of public utilities subject to the jurisdiction of either commission. The commission desiring a conference upon any such matter should notify the other without delay, and thereupon the Federal Power Commission will promptly arrange for a conference in which all interested State commissions will be invited to be represented.*+
39.3 Procedure governing matters referred to a board. 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 of 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 shall be as follows:
**For statutory and source citations, see note to s 39.1.
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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. When the member or members of any board have been nominated and appointed in accordance with the provisions of the Federal Power 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 its proceedings shall be conducted, and specify the allowances to be made for the expenses of the members of the board. The rules of practice and procedure, as from time to time adopted or prescribed by the Federal Power Commission, shall govern such board, as far as applicable. The board shall have authority to adjourn the hearing from day to day, subpoena witnesses, rule on the relevancy, competency, and materiality of evidence, and, after hearing all interested parties, submit its recommendations to the Federal Power Commission, together with its findings of fact and conclusions of law.**
CROSS REFERENCE: For rules of practice and procedure, see Part 1.
39.4 Procedure governing joint hearings. Whenever the Federal Power Commission, either upon its own motion or at the suggestion of any interested State commission, shall determine that a joint hearing is desirable in connection with any matter pending before the Federal Power Commission in which it is authorized to act, the procedure shall be as follows:
(a) The Federal Power Commission will send a request to each interested State commission to name a specified number of members or representatives to sit with said Federal Power Commission or its member or representative in the joint hearing of said matter. Where more than one State is affected, 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, except that in cases where the number of States affected makes it impracticable for each State to be represented, the commissions of such States will be requested to name a representative committee not exceeding five in number to sit with the Federal Power Commission or its member or representative in the joint hearing of said matter. Where the joint hearing is upon a matter concerning which a proceeding is pending before a State commission in which action can be taken by said State commission, a joint record will be made.
(b) Joint hearings will be followed by a conference to consider the facts developed of record, so as to provide opportunity for an exchange of views before final determination of the subject matter of the proceeding. Where a satisfactory exchange of views at such
**For statutory and source citations, see note to $ 39.1.
times proves impracticable, the State representative or representatives shall be afforded subsequent opportunity therefor in such manner as may be convenient.
(c) When joint hearings are held, the rules of practice and procedure as from time to time adopted or prescribed by the Federal Power Commission shall govern, as far as applicable. The Federal Power Commission shall have authority to set the time and place of the hearing, subpoena witnesses, rule on the relevancy, competency, and materiality of evidence, and control in all other respects the conduct of such hearings.**
CROSS REFERENCE: For rules of practice and procedure, see Part 1.
39.5 Special procedure may be prescribed in each case. The foregoing sections of this part are a general outline of procedure to be followed with respect to cooperation with State commissions under section 209 of the Federal Power Act. In any particular case, an order may be entered setting forth the manner in which said proceeding shall be conducted.*
PART 41—ACCOUNTS, RECORDS, AND MEMORANDA
41.5 Verification. 41.1 Notice of deficiencies.
41.6 Determination. 41.2 Response to notification.
41.7 Assignment for oral hearing. 41.3 Facts and argument.
41.8 Burden of proof.
Rules of practice and procedure: See Part 1.
ADJUSTMENT OF ACCOUNTS AND REPORTS Section 41.1 Notice of deficiencies. If, as the result of an examination by a representative of the Commission of the accounts of a person subject to the act and to the Commission's accounting requirements, or of an examination of any statement or report submitted by such person, it appears that the accounts, or any books or records pertaining to or in support thereof, are not being kept and maintained as required by the Commission, or that the statements or reports prepared and submitted are not in proper form, the failure or deficiency will be called to the attention of such person either formally or informally as the circumstances appear to warrant.****
**$8 41.1 to 41.8, inclusive, issued under the authority contained in secs. 301 (b), 308, 309, 49 Stat. 854, 858; 16 U.S.C., Sup., 825 (b), 825g, 825h: interpret sec. 301 (a), 49 Stat. 854; 16 U.S.C., Sup., 825 (a).
itin 88 41.1 to 41.8, inclusive, the numbers correspond with the respective section numbers in Rules of practice and regulations, Federal Power Commission, June 1, 1938.
41.2 Response to notification. If, as the result of such formal or informal notice, the matter is not adjusted within the time fixed by said notice, or within a reasonable time in case no date is specified, or if there is a disagreement between such person and the Commission or its representative respecting the application or interpretation of the Act or requirements of the Commission with respect to the matter at issue, such person will be requested to advise the Com**For statutory and source citations, see note to g 39.1.
mission in writing within a time to be specified whether it consents to the disposition
of the questions involved under the shortened procedure hereinafter provided.**
41.3 Facts and argument. If the person consents to the matter being handled under such shortened procedure, the person and any other parties interested, including representatives of the Commission, shall submit to the Commission, within 30 days after the receipt of notice from the Commission to do so, a memorandum of the facts and, separately stated, of the argument relied upon, to sustain the position taken respecting the matter at issue together with copies in sufficient number to enable the Commission to retain three copies for its own use and make service in accordance with 88 1.90-1.94, upon all parties designated in said notice. Twenty days will be allowed in which to file a reply by any party who filed an original memorandum.**
41.4 Form and style. All memoranda must conform to the requirements of $8 1.80–1.85, and each copy must be complete in itself. All pertinent data should be set forth fully, and each memorandum should set out the facts and argument as prescribed for briefs in 8$ 1.170–1.174.**
41.5 Verification. The facts stated in the memorandum must be sworn to by persons having knowledge thereof, which latter fact must affirmatively appear in the affidavit. Except under unusual circumstances, such persons should be those who would appear as witnesses if hearing were had to testify as to the facts stated in the memorandum.**
41.6 Determination. If no formal hearing is had the matter in issue will be determined by the Commission on the basis of the facts and arguments submitted.**
41.7 Assignment for oral hearing. In case consent to the shortened procedure is not given, or if at any stage of the proceeding prior to the submission of the case to the Commission any party in interest requests a hearing, the proceeding will be assigned for hearing as provided for by $$ 1.150-1.155. The Commission may also in its discretion set the proceeding for hearing on its own motion at any stage thereof.**
41.8 Burden of proof. The burden of proof to justify every accounting entry shall be on the person making, authorizing, or requiring such entry.** PART 45—APPLICATION FOR AUTHORITY TO HOLD
INTERLOCKING POSITIONS Sec.
Sec. 45. 1 Who shall file.
45.6 Termination of authorization. 45.2 Positions requiring authorization. 45. 7 Form of application; number of 45.3 Time of filing application.
copies. 45. 4 Supplemental applications.
45. 8 Contents of application. 45.5 Supplemental information.
CROSS REFERENCES Forms under rules of practice and regulations, Federal Power Act: See Part 200. Rules of practice and procedure: See Part 1.
**For statutory and source citations, see note to 8 41.1. **For statutory and source citations, see note to 8 45.1.
Section 45.1 Who shall file. An order authorizing the holding of positions as provided by section 305 (b) of the Federal Power Act (49 Stat. 856; 16 U.S.C., Sup., 825d (b)) will be granted only upon application therefor made as hereinafter provided by the person seeking to hold such positions (hereinafter referred to as "applicant”).**
*88 45.1 to 45.8, inclusive, issued under the authority contained in secs. 301 (b), 308, 309, 49 Stat. 854, 858; 16 U.S.C., Sup., 825 (b), 825g, 825h : interpret sec. 305 (b), 49 Stat. 856; 16 U.S.C., Sup., 825d (b).
788 45.1 to 45.8, inclusive, correspond with the respective section numbers in Rules of practice and regulations, Federal Power Commission, June 1, 1938.
45.2 Positions requiring authorization. (a) The positions subject to this part shall include those of any person elected or appointed to perform the duties or functions ordinarily performed by a president, vice president, secretary, treasurer, general manager, comptroller, chief purchasing agent, director or partner, or to perform any other similar executive duties or functions, in any corporation within the purview of section 305 (b) of the Act. With respect to positions not herein specifically mentioned which applicant holds and which are invested with executive authority, applicant shall state in the application the source of such executive authority, whether by bylaws, action of the board of directors, or otherwise.
(b) Corporations 2 within the purview of section 305 (b) of the Act include:
(1) Any public utility under the Act; which means any person who owns or operates facilities for the transmission of electric energy in interstate commerce, or any person who owns or operates facilities for the sale at wholesale of electric
in interstate commerce. (2) Any bank, trust company, banking association, or firm that is authorized by law to underwrite or participate in the marketing of public utility securities; this includes any corporation when so authorized whether or not same may also be a public utility and/or a holding company. (See 12 U.S.C. 378)
(3) Any company that supplies electrical equipment to a public utility in which applicant seeks authorization to hold a position, whether the supplying company be a manufacturer, or dealer, or one supplying electrical equipment pursuant to a construction, service, agency, or other contract.
(c) Regardless of any action which may have been taken by the Commission upon a previous application under section 305 (b) of the Act, an application for approval under such section is required with reference to any position or positions not previously authorized which are within the purview of said section.**
45.3 Time of filing application-(a) Anticipatory application. An application may be made in anticipation of election or appointment to a position or positions within the purview of section 305 (b) of the Act.
* "Corporation" means any corporation, joint-stock company, partnership, association, business trust, organized group of persons, whether incorporated or not, or a receiver or receivers, trustee or trustees of any of the foregoing. It shall not include “municipalities” as defined in the Federal Power Act (sec. 3, 49 Stat. 838; 16 U.S.C., Sup., 796).