18 CFR 385.606 - Confidentiality in dispute resolution proceedings (Rule 606).

prev | next
§ 385.606 Confidentiality in dispute resolution proceedings (Rule 606).
(a) Except as provided in paragraphs (d) and (e) of this section, a neutral in a dispute resolution proceeding shall not voluntarily disclose, or through discovery or compulsory process be required to disclose, any information concerning any dispute resolution communication or any communication provided in confidence to the neutral, unless:
(1) All participants in the dispute resolution proceeding and the neutral consent in writing;
(2) The dispute resolution communication has otherwise already been made public;
(3) The dispute resolution communication is required by statute to be made public, but a neutral should make the communication public only if no other person is reasonably available to disclose the communication; or
(4) A court determines that the testimony or disclosure is necessary to:
(i) Prevent a manifest injustice;
(ii) Help establish a violation of law; or
(iii) Prevent harm to the public health or safety of sufficient magnitude in the particular case to outweigh the integrity of dispute resolution proceedings in general by reducing the confidence of participants in future cases that their communications will remain confidential.
(b) A participant in a dispute resolution proceeding shall not voluntarily disclose, or through discovery or compulsory process be required to disclose, any information concerning any dispute resolution communication, unless:
(1) All participants to the dispute resolution proceeding consent in writing;
(2) The dispute resolution communication has otherwise already been made public;
(3) The dispute resolution communication is required by statute to be made public;
(4) A court determines that the testimony or disclosure is necessary to:
(i) Prevent a manifest injustice;
(ii) Help establish a violation of law; or
(iii) Prevent harm to the public health and safety of sufficient magnitude in the particular case to outweigh the integrity of dispute resolution proceedings in general by reducing the confidence of participants in future cases that their communications will remain confidential; or
(5) The dispute resolution communication is relevant to determining the existence or meaning of an agreement or award that resulted from the dispute resolution proceeding or to the enforcement of the agreement or award.
(c) Any dispute resolution communication that is disclosed in violation of paragraphs (a) or (b) of this section shall not be admissible in any proceeding.
(d)
(1) The participants may agree to alternative confidential procedures for disclosures by a neutral. The participants must inform the neutral before the commencement of the dispute resolution proceeding of any modifications to the provisions of paragraph (a) of this section that will govern the confidentiality of the dispute resolution proceeding. If the participants do not so inform the neutral, paragraph (a) of this section shall apply.
(2) To qualify for the exemption established under paragraph (l) of this section, an alternative confidential procedure under this paragraph may not provide for less disclosure than confidential procedures otherwise provided under this rule.
(e) If a demand for disclosure, by way of discovery request or other legal process, is made upon a participant regarding a dispute resolution communication, the participant will make reasonable efforts to notify the neutral and the other participants of the demand. Any participant who receives the notice and within 15 calendar days does not offer to defend a refusal of the neutral to disclose the requested information waives any objection to the disclosure.
(f) Nothing in Rule 606 prevents the discovery or admissibility of any evidence that is otherwise discoverable, merely because the evidence was presented in the course of a dispute resolution proceeding.
(g) Paragraphs (a) and (b) of this section do not preclude disclosure of information and data that are necessary to document an agreement reached or order issued pursuant to a dispute resolution proceeding.
(h) Paragraphs (a) and (b) of this section do not prevent the gathering of information for research and educational purposes, in cooperation with other agencies, governmental entities, or dispute resolution programs, so long as the participants and the specific issues in controversy are not identifiable.
(i) Paragraphs (a) and (b) of this section do not prevent use of a dispute resolution communication to resolve a dispute between the neutral in a dispute resolution proceeding and a participant in the proceeding, so long as the communication is disclosed only to the extent necessary to resolve the dispute.
(j) Nothing in this section precludes parties from seeking privileged treatment for documents under this chapter.
(k) Where disclosure is authorized by this section, nothing in this section precludes use of a protective agreement or protective orders.
(l) A dispute resolution communication that may not be disclosed under this rule shall also be exempt from disclosure under 5 U.S.C. 552(b)(3).
[Order 578, 60 FR 19508, Apr. 19, 1995, as amended by Order 602, 64 FR 17099, Apr. 8, 1999; Order 769, 77 FR 65476, Oct. 29, 2012]

Title 18 published on 2013-04-01

no entries appear in the Federal Register after this date.

This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.

This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].

It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.


United States Code
U.S. Code: Title 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES
U.S. Code: Title 15 - COMMERCE AND TRADE

§ 717 - Regulation of natural gas companies

§ 717a - Definitions

§ 717b - Exportation or importation of natural gas; LNG terminals

15 U.S. Code § 713a–1, 713a–2 - Repealed.

§ 717c - Rates and charges

15 U.S. Code § 713a–1, 713a–2 - Repealed.

§ 717d - Fixing rates and charges; determination of cost of production or transportation

§ 717e - Ascertainment of cost of property

§ 717f - Construction, extension, or abandonment of facilities

§ 717g - Accounts; records; memoranda

§ 717h - Rates of depreciation

§ 717i - Periodic and special reports

§ 717j - State compacts for conservation, transportation, etc., of natural gas

§ 717k - Officials dealing in securities

15 U.S. Code § -

§ 717m - Investigations by Commission

§ 717n - Process coordination; hearings; rules of procedure

15 U.S. Code § -

§ 717p - Joint boards

§ 717q - Appointment of officers and employees

§ 717r - Rehearing and review

§ 717s - Enforcement of chapter

§ 717t - General penalties

15 U.S. Code § 713a–1, 713a–2 - Repealed.

15 U.S. Code § 713a–1, 713a–2 - Repealed.

§ 717u - Jurisdiction of offenses; enforcement of liabilities and duties

§ 717v - Separability

§ 717w - Short title

§ 717x - Conserved natural gas

§ 717y - Voluntary conversion of natural gas users to heavy fuel oil

§ 717z - Emergency conversion of utilities and other facilities

§ 3301 - Definitions

§ 3311 to 3320, 3331 to 3333 - Repealed.

§ 3341 to 3348 - Repealed.

§ 3361 - Declaration of emergency

§ 3362 - Emergency purchase authority

§ 3363 - Emergency allocation authority

§ 3364 - Miscellaneous provisions

§ 3371 - Authorization of certain sales and transportation

§ 3372 - Assignment of contractual rights to receive surplus natural gas

§ 3373 - Effect of certain natural gas prices on indefinite price escalator clauses

§ 3374 - Clauses prohibiting certain sales, transportation, and commingling

§ 3375 - Filing of contracts and agreements

§ 3391 - Natural gas for essential agricultural uses

§ 3391a - “Essential agricultural use” defined

§ 3392 - Natural gas for essential industrial process and feedstock uses

§ 3393 - Establishment and implementation of priorities

§ 3394 - Limitation on revoking or amending certain pre-1969 certificates of public convenience and necessity

§ 3411 - General rulemaking authority

§ 3412 - Administrative procedure

§ 3413 - Repealed.

§ 3414 - Enforcement

§ 3415 - Intervention

§ 3416 - Judicial review

§ 3417 - Repealed.

§ 3418 - Applicability of other Federal statutory provisions relating to information-gathering

§ 3431 - Coordination with the Natural Gas Act

§ 3432 - Effect on State laws

U.S. Code: Title 16 - CONSERVATION

§ 792 - Federal Power Commission; creation; number; appointment; term; qualifications; vacancies; quorum; chairman; salary; place of holding sessions

§ 793 - Appointment of officers and employees of Commission; duties, and salaries; detail of officers and employees from other departments; expenditures authorized

§ 793a - Repealed.

§ 794, 795 - Omitted

§ 796 - Definitions

§ 797 - General powers of Commission

§ 797a - Congressional authorization for permits, licenses, leases, or authorizations for dams, conduits, reservoirs, etc., within national parks or monuments

§ 797b - Duty to keep Congress fully and currently informed

§ 797c - Dams in National Park System units

§ 797d - Third party contracting by FERC

§ 798 - Purpose and scope of preliminary permits; transfer and cancellation

§ 799 - License; duration, conditions, revocation, alteration, or surrender

§ 800 - Issuance of preliminary permits or licenses

§ 801 - Transfer of license; obligations of transferee

§ 802 - Information to accompany application for license; landowner notification

§ 803 - Conditions of license generally

§ 804 - Project works affecting navigable waters; requirements insertable in license

§ 805 - Participation by Government in costs of locks, etc.

§ 806 - Time limit for construction of project works; extension of time; termination or revocation of licenses for delay

§ 807 - Right of Government to take over project works

§ 808 - New licenses and renewals

§ 809 - Temporary use by Government of project works for national safety; compensation for use

§ 810 - Disposition of charges arising from licenses

§ 811 - Operation of navigation facilities; rules and regulations; penalties

§ 812 - Public-service licensee; regulations by State or by commission as to service, rates, charges, etc.

§ 813 - Power entering into interstate commerce; regulation of rates, charges, etc.

§ 814 - Exercise by licensee of power of eminent domain

§ 815 - Contract to furnish power extending beyond period of license; obligations of new licensee

§ 816 - Preservation of rights vested prior to June 10, 1920

§ 817 - Projects not affecting navigable waters; necessity for Federal license, permit or right-of-way; unauthorized activities

§ 818 - Public lands included in project; reservation of lands from entry

§ 819 - Repealed. Aug. 26, 1935, ch. 687, title II,

§ 820 - Proceedings for revocation of license or to prevent violations of license

§ 821 - State laws and water rights unaffected

§ 822 - Reservation of right to alter or repeal chapter

§ 823 - Repeal of inconsistent laws

§ 823a - Conduit hydroelectric facilities

§ 823b - Enforcement

§ 823c - Alaska State jurisdiction over small hydroelectric projects

§ 823d - Alternative conditions and prescriptions

§ 824 - Declaration of policy; application of subchapter

§ 824a - Interconnection and coordination of facilities; emergencies; transmission to foreign countries

16 U.S. Code § 794, 795 - Omitted

16 U.S. Code § 794, 795 - Omitted

16 U.S. Code § 794, 795 - Omitted

16 U.S. Code § 794, 795 - Omitted

§ 824b - Disposition of property; consolidations; purchase of securities

§ 824c - Issuance of securities; assumption of liabilities

§ 824d - Rates and charges; schedules; suspension of new rates; automatic adjustment clauses

§ 824e - Power of Commission to fix rates and charges; determination of cost of production or transmission

§ 824f - Ordering furnishing of adequate service

§ 824g - Ascertainment of cost of property and depreciation

§ 824h - References to State boards by Commission

§ 824i - Interconnection authority

§ 824j - Wheeling authority

16 U.S. Code § 794, 795 - Omitted

§ 824k - Orders requiring interconnection or wheeling

16 U.S. Code § -

§ 824m - Sales by exempt wholesale generators

§ 824n - Repealed.

16 U.S. Code § -

§ 824p - Siting of interstate electric transmission facilities

§ 824q - Native load service obligation

§ 824r - Protection of transmission contracts in the Pacific Northwest

§ 824s - Transmission infrastructure investment

§ 824t - Electricity market transparency rules

§ 824u - Prohibition on filing false information

§ 824v - Prohibition of energy market manipulation

§ 824w - Joint boards on economic dispatch

§ 825 - Accounts and records

§ 825a - Rates of depreciation; notice to State authorities before fixing

§ 825b - Requirements applicable to agencies of United States

§ 825c - Periodic and special reports; obstructing filing reports or keeping accounts, etc.

§ 825d - Officials dealing in securities

§ 825e - Complaints

§ 825f - Investigations by Commission

§ 825g - Hearings; rules of procedure

§ 825h - Administrative powers of Commission; rules, regulations, and orders

§ 825i - Appointment of officers and employees; compensation

§ 825j - Investigations relating to electric energy; reports to Congress

§ 825k - Publication and sale of reports

16 U.S. Code § -

§ 825m - Enforcement provisions

§ 825n - Forfeiture for violations; recovery; applicability

16 U.S. Code § -

16 U.S. Code § 794, 795 - Omitted

§ 825p - Jurisdiction of offenses; enforcement of liabilities and duties

§ 825q - Repealed.

16 U.S. Code § 794, 795 - Omitted

§ 825r - Separability

§ 825s - Sale of electric power from reservoir projects; rate schedules; preference in sale; construction of transmission lines; disposition of moneys

16 U.S. Code § 794, 795 - Omitted

16 U.S. Code § 794, 795 - Omitted

16 U.S. Code § 794, 795 - Omitted

16 U.S. Code § 794, 795 - Omitted

16 U.S. Code § 794, 795 - Omitted

16 U.S. Code § 794, 795 - Omitted

16 U.S. Code § 794, 795 - Omitted

§ 825t - Utilization of power revenues

§ 825u - Interest rate on power bonds held by Administrator of General Services

§ 828 - Facilitation of development and construction of water conservation facilities; exemption from certain Federal requirements

§ 828a - Definitions

§ 828b - Exemption from formula, books and records, and project cost statement requirements; annual charges

§ 828c - Applicability of this subchapter

§ 2601 - Findings

§ 2602 - Definitions

§ 2603 - Relationship to antitrust laws

§ 2611 - Purposes

§ 2612 - Coverage

§ 2613 - Federal contracts

§ 2621 - Consideration and determination respecting certain ratemaking standards

§ 2622 - Obligations to consider and determine

§ 2623 - Adoption of certain standards

§ 2624 - Lifeline rates

§ 2625 - Special rules for standards

§ 2626 - Reports respecting standards

§ 2627 - Relationship to State law

§ 2631 - Intervention in proceedings

§ 2632 - Consumer representation

§ 2633 - Judicial review and enforcement

§ 2634 - Prior and pending proceedings

§ 2641 - Voluntary guidelines

§ 2642 - Responsibilities of Secretary

§ 2643 - Gathering information on costs of service

§ 2644 - Relationship to other authority

§ 2645 - Utility regulatory institute

U.S. Code: Title 28 - JUDICIARY AND JUDICIAL PROCEDURE
U.S. Code: Title 31 - MONEY AND FINANCE
U.S. Code: Title 42 - THE PUBLIC HEALTH AND WELFARE
USC: Title 49a
U.S. Code: Title 49 - TRANSPORTATION
Presidential Documents

Executive Order ... 12009