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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 § 401.13, 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

86-043 0 - 68 - 24

§ 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 it, the Commission with the concurrence

fixed by the Chairmen of the two sections.

(b) The secretaries shall forthwith of at least four Commissioners may allow the amendment of any application,

give written notice of the time and place

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 been presented to the Commission.

who have presented statements in re

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 the 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

applicant may also examine or cross- sion and invoking its action ordinarily examine witnesses.

will be as set forth in this section. (g) The Commission may require fur- (b) Where both Governments have ther evidence to be given and may re- agreed to refer such a question or matter quire printed briefs to be submitted at to the Commission, each Government or subsequent to the hearing.

will present to the Commission, at the (h) The Commissioners shall be free permanent office in its country, a referto determine the probative value of the ence in similar or identical terms setting evidence submitted to it.

forth as fully as may be necessary for (i) A verbatim transcript of the pro- the information of the Commission the ceedings at the hearing shall be prepared. question or matter which it is to exam

(j) The hearing of the application, ine into and report upon and any rewhen once begun, shall proceed at the strictions or exceptions which may be times and places determined by the imposed upon the Commission with reChairmen of the two sections to ensure spect thereto. the greatest practicable continuity and (c) Where one of the Governments, dispatch of proceedings.

on its own initiative, has decided to § 401.24 Expenses of proceedings.

refer such a question or matter to the

Commission, it will present a reference (a) The expenses of those participat- to the Commission at the permanent ing in any proceeding under this Subpart office in its country. All such references B shall be borne by the participants. should conform, as to their contents, to

(b) The Commission, after due notice the requirements of paragraph (b) of to the participant or participants con- this section. cerned, may require that any unusual (d) Such drawings, plans of survey cost or expense to the Commission shall and maps as may be necessary to illusbe paid by the person on whose behalf strate clearly the question or matter or at whose request such unusual cost or referred should accompany the referexpense has been or will be incurred.

ence when it is presented to the Com§ 401.25 Government brief regarding

mission. navigable waters.

$ 401.27 Notice and publication. When in the opinion of the Commission it is desirable that a decision should

(a) The secretary to whom a refer

ence is presented shall receive and file be rendered which affects navigable

the same and shall send a copy forthwaters in a manner or to an extent dif

with to the other secretary for filing in ferent from that contemplated by the

the office of the latter. If the reference application and plans presented to the

is presented by one Government only, Commission, the Commission will, be

the other secretary shall send a copy fore making a final decision, submit to

forthwith to his Government. the Government presenting or trans

(b) Subject to any restrictions or exmitting the application a draft of the

ceptions which may be posed upon decision, and such Government may

the Commission by the terms of the transmit to the Commission a brief or

reference, and unless otherwise provided memorandum thereon which will receive

by the Commission, the secretaries, as due consideration by the Commission

soon as practicable after the reference before its decision is made final.

is received, shall cause a notice to be pubSubpart C— References

lished in the Canada Gazette, the FED

ERAL REGISTER and in two newspapers, § 401.26 Presentation to Commission.

published one in each country and cir(a) Where a question or matter of dif- culated in or near the localities which, ference arising between the two Govern- in the opinion of the Commission, are ments involving the rights, obligations, most likely to be interested in the subject or interests of either in relation to the matter of the reference. The notice shall other or to the inhabitants of the other describe the subject matter of the refalong the common frontier between the erence in general terms, invite interested United States of America and Canada persons to inform the Commission of is to be referred to the Commission the nature of their interest and state under Article IX of the Treaty, the that the Commission will provide conmethod of bringing such question or venient opportunity for interested permatter to the attention of the Commis- sons to be heard with respect thereto.

§ 401.28 Advisory boards.

ISTER and once each week for three suc

cessive weeks in two newspapers, pub(a) The Commission may appoint a

lished one in each country and circuboard or boards, composed of qualified

lated in or near the localities which, in persons, to conduct on its behalf inves

the opinion of the Commission, are most tigations and studies that may be neces

likely to be interested in the subject sary or desirable and to report to the

matter of the reference. Commission regarding any questions or

(d) All hearings shall be open to the matters involved in the subject matter public, unless otherwise determined by of the reference.

the Commission. (b) Such board ordinarily will have

(e) At a hearing, the Governments and an equal number of members from each

persons interested are entitled to precountry.

sent, in person or by counsel, oral and (c) The Commission ordinarily will

documentary evidence and argument make copies of the main or final report that is relevant and material to any of such board or a digest thereof avail- matter that is within the published purable for examination by the Govern

pose of the hearing. ments and interested persons prior to

(f) The presiding chairman may reholding the final hearing or hearings re

quire that evidence be under oath. ferred to in § 401.29.

(g) Witnesses may be examined and § 401.29 Hearings.

cross-examined by the Commissioners

and by counsel for the Governments and (a) A hearing or hearings may be held

the Commission. With the consent of whenever in the opinion of the Commis

the presiding chairman, counsel for any sion such action would be helpful to the

interested person may also examine or Commission in complying with the terms

cross-examine witnesses. of a reference. Subject to any restric

(h) The Commission may require furtions or exceptions which may be im

ther evidence to be given and may require posed by the terms of the reference, a

printed briefs to be submitted at or subfinal hearing or hearings shall be held

sequent to the hearing. before the Commission reports to Gov

(i) A verbatim transcript of the proernments in accordance with the terms

ceedings at the hearing shall be prepared. of the reference.

(b) The time, place and purpose of § 401.30 Proceedings Under Article X. the hearing or hearings on a reference

When a question or matter of differshall be fixed by the chairmen of the

ence arising between the two Governtwo sections.

ments involving the rights, obligations (c) The secretaries shall forthwith

or interests of either in relation to the give written notice of the time, place

other or to their respective inhabitants and purpose of the hearing or hearings

has been or is to be referred to the Comto each Government and to persons who

mission for decision under Article X of have advised the Commission of their

the Treaty, the Commission, after coninterest. Unless otherwise directed by

sultation with the said Governments, will the Commission, the secretaries shall

adopt such rules of procedure as may be also cause such notice to be published in

appropriate to the question or matter rethe Canada Gazette, the FEDERAL REG- ferred or to be referred.



Part 500 502 503 511

Employee responsibilities and conduct.
World-wide free flow (export-import) of audio-visual materials.
Organization and availability of records.
Federal Tort Claims procedure.

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