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PART 401—RULES OF PROCEDURE State, municipality, individual, partner

ship, corporation and association, but Subpart A-General

does not include the Government of Sec.

Canada or the Government of the United 401.1 Definitions. 401.2 Chairmen.

States of America; 401.3 Permanent offices.

(e) "Oath” includes affirmation; 401.4 Duties of secretaries.

(f) “Reference” means the document 401.5 Meetings.

which a question or matter of differ401.6 Service of documents.

ence is referred to the Commission pur401.7 Conduct of hearings.

suant to Article IX of the Treaty; 401.8 Decision by the whole Commission.

(g) "The Treaty” means the Treaty 401.9 Suspension or amendment of rules. 401.10 General rule.

between the United States of America 401.11 Availability of records.

and His Majesty the King, dated the 11th

day of January 1909; Subpart B-Applications

(h) “Canadian section" consists of the 401.12 Presentation to Commission.

commissioners appointed by Her Maj401.13 Copies required.

esty on the recommendation of the Gov401.14 Authorization by Government.

ernor in Council of Canada; 401.15 Notice of publication.

(i) “United States section" consists of 401.16 Statement in response. 401.17 Statement in reply.

the commissioners appointed by the 401.18 Supplemental or amended applica

President of the United States. tions and statements.

§ 401.2 Chairmen. 401.19 Reducing or extending time and dispensing with statements.

(a) The commissioners of the United 401.20 Interested persons and counsel.

States section of the Commission shall 401.21 Consultation.

appoint one of their number as chair401.22 Attendance of witnesses and produc

man, to be known as the Chairman of the tion of documents. 401.23 Hearings.

United States Section of the Interna401.24 Expenses of proceedings.

tional Joint Commission, and he shall 401.25 Government brief regarding navi

act as chairman at all meetings of the gable waters.

Commission held in the United States Subpart C-References

and in respect to all matters required 401.26 Presentation to Commission.

to be done in the United States by the 401.27 Notice and publication.

chairman of the Commission. 401.28 Advisory boards.

(b) The commissioners of the Cana-' 401.29 Hearings.

dian section of the Commission shall 401.30 Proceedings under Article X.

appoint one of their number as chairman, AUTHORITY: The provisions of this part 401 to be known as the Chairman of the issued under Art. XII, 36 Stat. 2453.

Canadian Section of the International SOURCE: The provisions of this Part 401

Joint Commission, and he shall act as appear at 30 F.R. 3379, Mar. 13, 1965, unless

chairman at all meetings of the Commisotherwise noted.

sion held in Canada and in respect to

all matters required to be done in Canada Subpart A-General

by the chairman of the Commission. $ 401.1 Definitions.

(c) In case it shall be impracticable

for the chairman of either section to (a) In the construction of the regula

act in any matter, the commissioner of tions in this part, unless the context

such section who is senior in order of otherwise requires, words importing the

appointment shall act in his stead. singular number shall include the plural and words importing the plural number

§ 401.3 Permanent offices. shall include the singular, and;

The permanent offices of the Commis(b) “Applicant” means the Govern- sion shall be at Washington, in the Disment or person on whose behalf an ap- trict of Columbia, and at Ottawa, in plication is presented to the Commis- the Province of Ontario, and, subject to sion in accordance with $ 401.12;

the directions of the respective chairmen (c) “Government” means the Govern- acting for their respective sections, the ment of Canada or the Government of secretaries of the United States and the United States of America;

Canadian sections of the Commission (d) “Person” includes Province, State, shall have full charge and control of department or agency of a Province or said offices, respectively.

§ 401.4 Duties of secretaries.

said person has furnished to the Com

mission, or if no such address has been (a) The secretaries shall act as joint

furnished, at the dwelling house or usual secretaries at all meetings and hearings

place of abode or usual place of business of the Commission. The secretary of the

of such person. section of the Commission of the country

(b) Where the secretary is required in which a meeting or hearing is held

by the regulations in this part to give shall prepare a record thereof and each

notice to a Government, this shall be secretary shall preserve an authentic

done by delivering or mailing such notice copy of the same in the permanent offices

to the Secretary of State for External of the Commission.

Affairs of Canada or to the Secretary of (b) Each secretary shall receive and

State of the United States of America, file all applications, references and other

as the case may be. papers properly presented to the Com

(c) Service of any document pursuant mission in any proceeding instituted

to $ 401.22 shall be by delivering a copy before it and shall number in numerical

thereof to the person named therein, or order all such applications and refer

by leaving the same at the dwelling house ences; the number given to an applica

or usual place of abode or usual place tion or reference shall be the primary

of business of such person. The person file number for all papers relating to such

serving the notice or request shall furapplication or reference.

nish an affidavit to the secretary stating (c) Each secretary shall forward to

the time and place of such service. the other for filing in the office of the other copies of all official letters, docu- § 401.7

Conduct of hearings. ments, records or other papers received

Hearings may be conducted, testimony by him or filed in his office, pertaining

received and arguments thereon heard to any proceeding before the Commis

by the whole Commission or by one or sion, to the end that there shall be on

more Commissioners from each section file in each office either the original or

of the Commission, designated for that a copy of all official letters and other

purpose by the respective sections or the papers, relating to the said proceeding.

Chairman thereof. (d) Each secretary shall also forward to the other for filing in the office of the

§ 401.8 Decision by the whole Commis

sion. other copies of any letters, documents or other papers received by him or filed The whole Commission shall consider in his office which are deemed by him to and determine any matter or question be of interest to the Commission.

which the Treaty or any other treaty or $ 401.5 Meetings.

international agreement, either in terms

or by implication, requires or makes it (a) Subject at all times to special call

the duty of the Commission to determine. or direction by the two Governments,

For the purposes of this section and meetings of the Commission shall be

§ 401.7, “the whole Commission” means held at such times and places in the all of the commissioners appointed purUnited States and Canada as the Com

suant to Article VII of the Treaty whose mission or the Chairman may determine

terms of office have not expired and who and in any event shall be held each year

are not prevented by serious illness or at Washington in April and at Ottawa

other circumstances beyond their control in October, beginning ordinarily on the from carrying out their functions as first Tuesday of the said months.

commissioners. In no event shall a de(b) If the Commission determines cision be made without the concurrence that a meeting shall be open to the pub- of at least four commissioners. lic, it shall give such advance notice to this effect as it considers appropriate in

§ 401.9 Suspension or amendment of the circumstances.

rules. $ 401.6 Service of documents.

The Commission may suspend, repeal, (a) Where the secretary is required by or amend all or any of the rules of prothe regulations in this part to give notice cedure at any time, with the concurrence to any person, this shall be done by of at least four commissioners. Both delivering or mailing such notice to the Governments shall be informed forthperson at the address for service that the with of any such action.

99-144 0-69-25

$ 401.10 General rule.

Subpart B-Applications The Commission may, at any time,

§ 401.12 Presentation to Commission. adopt any procedure which it deems expedient and necessary to carry out the

(a) Where one or the other of the true intent and meaning of the Treaty.

Governments on its own initiative seeks

the approval of the Commission for the § 401.11 Availability of records.

use, obstruction or diversion of waters (a) The following items in the official with respect to which under Articles III records of the Commission shall be avail- or IV of the Treaty the approval of the able for public information at the perma- Commission is required, it shall present nent offices of the Commission:

to the Commission an application setting Applications.

forth as fully as may be necessary for the References.

information of the Commission the facts Public Notices.

upon which the application is based and Press Releases.

the nature of the order of approval deStatements in Response.

sired. Statements in Reply.

(b) Where a person seeks the approval Records of hearings, including exhibits filed. Briefs and formal Statements submitted at

of the Commission for the use, obstruchearings or at other times.

tion or diversion of waters with respect

to which under Articles III or IV of the (b) Decisions rendered and orders is

Treaty the approval of the Commission sued by the Commission and formal opin

is required, he shall prepare an applicaions of any of the Commissioners with

tion to the Commission and forward it relation thereto, shall be available similarly for public information after dupli- to the Government within whose juriscate originals of the decisions or orders diction such use, obstruction or diversion have been transmitted to and filed with is to be made, with the request that the the Governments pursuant to Article XI said application be transmitted to the of the Treaty.

Commission. If such Government trans(c) Copies of reports submitted to one mits the application to the Commission or both of the Governments pursuant to with a request that it take appropriate the Treaty shall be available similarly for action thereon, the same shall be filed by public information only with the consent the Commission in the same manner as of the Government or Governments to an application presented in accordance whom the reports are addressed.

with paragraph (a) of this section.' (d) Reports, letters, memoranda and Transmittal of the application to the other communications addressed to the Commission shall not be construed as Commission, by boards or committees authorization by the Government of the created by or at the request of the Com- use, obstruction or diversion proposed by mission, are privileged and shall become the applicant. All applications by peravailable for public information only in sons shall conform, as to their contents, accordance with a decision of the Com- to the requirements of paragraph (a) of mission to that effect.

this section. (e) Except as provided in the preced- (c) Where the Commission has issued ing paragraphs of this section, records of an Order approving a particular use, obdeliberations, and documents, letters, struction or diversion, in which it has memoranda and communications of specifically retained jurisdiction over the every nature and kind in the official rec- subject matter of an application and has ords of the Commission, whether ad- reserved the right to make further ordressed to or by the Commission, com- ders relating thereto, any Government or missioners, secretaries, advisers or any of person entitled to request the issuance them, are privileged and shall become of such further order may present to the available for public information nly in Commission a request, setting forth the accordance with a decision of the Com- facts upon which it is based and the mission to that effect.

nature of the further order desired. On (f) A copy of any document, report, receipt of the request, the Commission record or other paper which under this shall proceed in accordance with the section is available for public informa- terms of the Order in which the Commistion may be furnished to any person upon

sion specifically retained jurisdiction. In payment of any cost involved in its re- each case the secretaries shall notify production.

both Governments and invite their com

ments before the request is complied (b) Except as otherwise provided purwith.

suant to § 401.19, the secretaries, as soon § 401.13 Copies required.

as practicable after the application is re

ceived, shall cause a notice to be pub(a) Subject to paragraph (c) of this lished in the Canada Gazette and the section, two duplicate originals and fifty FEDERAL REGISTER and once each week copies of the application and of any sup- for three successive weeks in two newsplemental application statement in papers, published one in each country response, supplemental statement in re

and circulated in or near the localities sponse, statement in reply and supple- which, in the opinion of the Commismental statement in reply shall be sion, are most likely to be affected by delivered to either secretary. On receipt the proposed use, obstruction or diverof such documents, the secretary shall sion. Subject to paragraph (c) of this forthwith send one duplicate original section, the notice shall state that the and twenty-five copies to the other sec- application has been received, the nature retary.

and locality of the proposed use, obstruc(b) Subject to paragraph (c) of this

tion or diversion, the time within which section, two copies of such drawings, any person interested may present a profiles, plans of survey, maps and speci- statement in response to the Commission fications as may be necessary to illus- and that the Commission will hold a trate clearly the matter of the applica- hearing or hearings at which all persons tion shall be delivered to either secretary interested are entitled to be heard with and he shall send one copy forthwith to

respect thereto. the other secretary.

(c) If the Commission so directs, the (c) Notwithstanding paragraphs (a) notice referred to in paragraph (b) of and (b) of this section, such additional this section, appropriately modified, may copies of the documents mentioned be combined with the notice of hearing therein as may be requested by the Com- referred to in § 401.24 and published mission shall be provided forthwith. accordingly. § 401.14 Authorization by Government. § 401.16

Statement in response. (a) Where the use, obstruction or di- (a) Except as otherwise provided purvision of waters for which the Commis

suant to § 401.19, a Government and any sion's approval is sought has been au- interested person, other than the applithorized by or on behalf of a Govern- cant, may present a statement in rement or by or on behalf of a State or sponse to the Commission within thirty Province or other competent authority, days after the filing of an application. two copies of such authorization and of

A statement in response shall set forth any plans approved incidental thereto

facts and arguments bearing on the subshall accompany the application when it

ject matter of the application and tendis presented to the Commission in accord- ing to oppose or support the application, ance with § 401.12.

in whole or in part. If it is desired that (b) Where such a use, obstruction or conditional approval be granted, the diversion of waters is authorized by or statement in response should set forth on behalf of a Government or by or on the particular condition or conditions behalf of a State or Province or other desired. An address for service of docucompetent authority after an application ments should be included in the statehas been presented to the Commission in ment in response. accordance with $ 401.12, the applicant (b) When a statement in response has shall deliver forthwith to the Commis- been filed, the secretaries shall send a sion two copies of such authorization and copy forthwith to the applicant and to of any plans approved incidental there- each Government except the Government to.

which presented the said statement in § 401.15 Notice of publication.

response. If so directed by the Commis

sion, the secretaries shall inform those (a) As soon as practicable after an who have presented statements in reapplication is presented or transmitted sponse, of the nature of the total in accordance with § 401.12, the secretary response. of the section of the Commission appointed by the other Government shall

§ 401.17 Statement in reply. send a copy of the application to such (a) Except as otherwise provided purGovernment.

suant to § 401.19, the applicant and, if he is a person, the Government which mitting or proof of certain facts or for transmitted the application on his be- any other purpose. half, one or both may present a state

§ 401.22 Attendance of witnesses and ment or statements in reply to the Com

production of documents. mission within thirty days after the time provided for presenting statements in (a) Requests for the attendance and response. A statement in reply shall set examination of witnesses and for the forth facts and arguments bearing upon production and inspection of books, the allegations and arguments contained papers and documents may be issued over in the statements in response.

the signature of the secretary of the sec(b) When a statement in reply has tion of the Commission of the country in been filed, the secretary shall send a copy which the witnesses reside or the books, forthwith to each Government except the papers or documents may be, when so Government which presented the said authorized by the Chairman of that secstatement in reply, and to all persons

tion. who presented statements in response.

(b) All applications for subpoena or § 401.18 Supplemental or amended ap

other process to compel the attendance plications and statements.

of witnesses or the production of books,

papers and documents before the Com(a) If it appears to the Commission

mission shall be made to the proper that either an application, a statement in

courts of either country, as the case may response or a statement in reply is not

be, upon the order of the Commission. sufficiently definite and complete, the Commission may require a more definite and complete application, statement in § 401.23 Hearings. response or statement in reply, as the

(a) The time and place of the hearing case may be, to be presented. (b) Where substantial justice requires

or hearings of an application shall be

fixed by the Chairmen of the two sections. it, the Commission with the concurrence

(b) The secretaries shall forthwith of at least four Commissioners may allow

give written notice of the time and place the amendment of any application,

of the hearing or hearings to the applistatement in response, statement in reply

cant, the Governments and all persons and any document or exhibit which has

who have presented statements in rebeen presented to the Commission.

sponse to the Commission. Except as § 401.19 Reducing or extending time otherwise provided by the Commission, and dispensing with statements.

the secretaries shall also cause such noIn any case where the Commission tice to be published in the Canada considers that such action would be in the

Gazette and the FEDERAL REGISTER and public interest and not prejudicial to the

once each week for three successive weeks right of interested persons to be heard

in two newspapers, published one in each in accordance with Article XII of the

country and circulated in or near the Treaty, the Commission may reduce or

localities which, in the opinion of the extend the time for the presentation of

Commission, are most likely to be afany paper or the doing of any act re

fected by the proposed use, obstruction quired by these rules or may dispense

or diversion of water. with the presentation of statements in

(c) All hearings shall be open to the response and statements in reply.


(d) The applicant, the Governments § 401.20 Interested persons and counsel.

and persons interested are entitled to Governments and persons interested in present oral and documentary evidence the subject matter of an application, and argument that is relevant and mawhether in favour of or opposed to it,

terial to any issue that is before the are entitled to be heard in person or by Commission in connection with counsel at any hearing thereof held by application. the Commission.

(e) The presiding chairman may re

quire that evidence to be under oath. § 401.21 Consultation.

(f) Witnesses may be examined and The Commission may meet or consult cross-examined by the Commissioners with the applicant, the Governments and and by counsel for the applicant, the other persons or their counsel at any Governments and

the Commission. time regarding the plan of hearing, the With the consent of the presiding chairmode of conducting the inquiry, the ad- man, counsel for a person other than the


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