FCC 1.1204 Revised as of October 1, 2006
Goto Year:2005 |
2007
Sec. 1.1204 Exempt ex parte presentations and proceedings.
(a) Exempt ex parte presentations. The following types of presentations are
exempt from the prohibitions in restricted proceedings ( Sec. 1.1208), the
disclosure requirements in permit-but-disclose proceedings ( Sec. 1.1206), and
the prohibitions during the Sunshine Agenda period prohibition ( Sec. 1.1203):
(1) The presentation is authorized by statute or by the Commission's rules
to be made without service, see, e.g., Sec. 1.333(d), or involves the filing of
required forms;
(2) The presentation is made by or to the General Counsel and his or her
staff and concerns judicial review of a matter that has been decided by the
Commission;
(3) The presentation directly relates to an emergency in which the safety of
life is endangered or substantial loss of property is threatened, provided
that, if not otherwise submitted for the record, Commission staff promptly
places the presentation or a summary of the presentation in the record and
discloses it to other parties as appropriate.
(4) The presentation involves a military or foreign affairs function of the
United States or classified security information;
(5) The presentation is to or from an agency or branch of the Federal
Government or its staff and involves a matter over which that agency or
branch and the Commission share jurisdiction provided that, any new factual
information obtained through such a presentation that is relied on by the
Commission in its decision-making process will, if not otherwise submitted
for the record, be disclosed by the Commission no later than at the time of
the release of the Commission's decision;
(6) The presentation is to or from the United States Department of Justice
or Federal Trade Commission and involves a telecommunications competition
matter in a proceeding which has not been designated for hearing and in
which the relevant agency is not a party or commenter (in an informal
rulemaking or Joint board proceeding) provided that, any new factual
information obtained through such a presentation that is relied on by the
Commission in its decision-making process will be disclosed by the
Commission no later than at the time of the release of the Commission's
decision;
Note 1 to paragraph (a): Under paragraphs (a)(5) and (a)(6) of this section,
information will be relied on and disclosure will be made only after advance
coordination with the agency involved in order to ensure that the agency
involved retains control over the timing and extent of any disclosure that
may have an impact on that agency's jurisdictional responsibilities. If the
agency involved does not wish such information to be disclosed, the
Commission will not disclose it and will disregard it in its decision-making
process, unless it fits within another exemption not requiring disclosure
(e.g., foreign affairs). The fact that an agency's views are disclosed under
paragraphs (a)(5) and (a)(6) does not preclude further discussions pursuant
to, and in accordance with, the exemption.
(7) The presentation is between Commission staff and an advisory
coordinating committee member with respect to the coordination of frequency
assignments to stations in the private land mobile services or fixed
services as authorized by 47 U.S.C. 332;
(8) The presentation is a written presentation made by a listener or viewer
of a broadcast station who is not a party under Sec. 1.1202(d)(1), and the
presentation relates to a pending application that has not been designated
for hearing for a new or modified broadcast station or license, for renewal
of a broadcast station license or for assignment or transfer of control of a
broadcast permit or license;
(9) The presentation is made pursuant to an express or implied promise of
confidentiality to protect an individual from the possibility of reprisal,
or there is a reasonable expectation that disclosure would endanger the life
or physical safety of an individual;
(10) The presentation is requested by (or made with the advance approval of)
the Commission or staff for the clarification or adduction of evidence, or
for resolution of issues, including possible settlement, subject to the
following limitations:
(i) This exemption does not apply to restricted proceedings designated for
hearing;
(ii) In restricted proceedings not designated for hearing, any new written
information elicited from such request or a summary of any new oral
information elicited from such request shall promptly be served by the
person making the presentation on the other parties to the proceeding.
Information relating to how a proceeding should or could be settled, as
opposed to new information regarding the merits, shall not be deemed to be
new information for purposes of this section. The Commission or its staff
may waive the service requirement if service would be too burdensome because
the parties are numerous or because the materials relating to such
presentation are voluminous. If the service requirement is waived, copies of
the presentation or summary shall be placed in the record of the proceeding
and the Commission or its staff shall issue a public notice which states
that copies of the presentation or summary are available for inspection. The
Commission or its staff may determine that service or public notice would
interfere with the effective conduct of an investigation and dispense with
the service and public notice requirements;
(iii) If the presentation is made in a proceeding subject to
permit-but-disclose requirements, disclosure of any new written information
elicited from such request or a summary of any new oral information elicited
from such request must be made in accordance with the requirements of
Sec. 1.1206(b), provided, however, that the Commission or its staff may
determine that disclosure would interfere with the effective conduct of an
investigation and dispense with the disclosure requirement. As in paragraph
(a)(10)(ii) of this section, information relating to how a proceeding should
or could be settled, as opposed to new information regarding the merits,
shall not be deemed to be new information for purposes of this section;
Note 2 to paragraph (a): If the Commission or its staff dispenses with the
service or notice requirement to avoid interference with an investigation, a
determination will be made in the discretion of the Commission or its staff
as to when and how disclosure should be made if necessary. See Amendment of
Subpart H, Part I, 2 FCC Rcd 6053, 6054 ¶ ¶10–14 (1987).
(iv) If the presentation is made in a proceeding subject to the Sunshine
period prohibition, disclosure must be made in accordance with the
requirements of Sec. 1.1206(b) or by other adequate means of notice that the
Commission deems appropriate;
(v) In situations where new information regarding the merits is disclosed
during settlement discussions, and the Commission or staff intends that the
product of the settlement discussions will be disclosed to the other parties
or the public for comment before any action is taken, the Commission or
staff in its discretion may defer disclosure of such new information until
comment is sought on the settlement proposal or the settlement discussions
are terminated.
(11) The presentation is an oral presentation in a restricted proceeding not
designated for hearing requesting action by a particular date or giving
reasons that a proceeding should be expedited other than the need to avoid
administrative delay. A detailed summary of the presentation shall promptly
be filed in the record and served by the person making the presentation on
the other parties to the proceeding, who may respond in support or
opposition to the request for expedition, including by oral ex parte
presentation, subject to the same service requirement.
(12) The presentation is between Commission staff and:
(i) The administrator of the interstate telecommunications relay services
fund relating to administration of the telecommunications relay services
fund pursuant to 47 U.S.C. 225;
(ii) The North American Numbering Plan Administrator or the North American
Numbering Plan Billing and Collection Agent relating to the administration
of the North American Numbering Plan pursuant to 47 U.S.C. 251(e);
(iii) The Universal Service Administrative Company relating to the
administration of universal service support mechanisms pursuant to 47 U.S.C.
254; or
(iv) The Number Portability Administrator relating to the administration of
local number portability pursuant to 47 U.S.C. 251(b)(2) and (e); provided
that the relevant administrator has not filed comments or otherwise
participated as a party in the proceeding.
(b) Exempt proceedings. Unless otherwise provided by the Commission or the
staff pursuant to Sec. 1.1200(a), ex parte presentations to or from Commission
decision-making personnel are permissible and need not be disclosed with
respect to the following proceedings, which are referred to as “exempt”
proceedings:
(1) A notice of inquiry proceeding;
(2) A petition for rulemaking, except for a petition requesting the
allotment of a broadcast channel (see also Sec. 1.1206(a)(1)), or other request
that the Commission modify its rules, issue a policy statement or issue an
interpretive rule, or establish a Joint Board;
(3) A tariff proceeding (including directly associated waiver requests or
requests for special permission) prior to it being set for investigation
(see also Sec. 1.1206(a)(4));
(4) A proceeding relating to prescription of common carrier depreciation
rates under section 220(b) of the Communications Act prior to release of a
public notice of specific proposed depreciation rates (see also
Sec. 1.1206(a)(9));
(5) An informal complaint proceeding under 47 U.S.C. 208 and Sec. 1.717 of this
chapter or 47 U.S.C. 255 and either Sec. Sec. 6.17 or 7.17 of this chapter; and
(6) A complaint against a cable operator regarding its rates that is not
filed on the standard complaint form required by Sec. 76.951 of this chapter
(FCC Form 329).
Notes 1–3 to paragraph (b): [Reserved]
Note 4 to paragraph (b): In the case of petitions for rulemaking that seek
Commission preemption of state or local regulatory authority, the petitioner
must serve the original petition on any state or local government, the
actions of which are specifically cited as a basis for requesting
preemption. Service should be made on those bodies within the state or local
governments that are legally authorized to accept service of legal documents
in a civil context. Such pleadings that are not served will be dismissed
without consideration as a defective pleading and treated as a violation of
the ex parte rules unless the Commission determines that the matter should
be entertained by making it part of the record under Sec. 1.1212(d) and the
parties are so informed.
[ 62 FR 15855 , Apr. 3, 1997, as amended at 64 FR 63251 , Nov. 19, 1999; 64 FR 68948 , Dec. 9, 1999]
Non-Restricted Proceedings
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