outcome of a restricted proceeding, including the following: (1) Parties to the restricted proceeding. (2) Any other person who might be aggrieved or adversely affected by the outcome of the restricted proceeding. See sections 402(b) (6) and 405 of the Communications Act of 1934, as amended. (3) Agents for persons who might be aggrieved or adversely affected by the outcome of the restricted proceeding, including attorneys and consulting engineers. (f) Presentation. Any communication going to the merits or outcome of any aspect of a restricted proceeding. NOTE: The term "presentation" is narrower than the general term "communication". For a discussion of the term "presentation", see 1 F.C.C. 2d (1965), at paragraphs 19-25. (1) Any (g) Ex parte presentation. written presentation, made to decisionmaking personnel by any other person, which is not served on the parties to the proceeding. See §§ 1.47 and 1.211. (2) Any oral presentation, made to decision-making Commission personnel by any other person, without advance notice to the parties to the proceeding and opportunity for them to be present. § 1.1203 Restricted adjudicative proceedings. (a) All adjudicative proceedings, including the following, are "restricted" from the time they are designated for hearing until they are removed from hearing status, or have been decided by the Commission, and are no longer subject to reconsideration by the Commission or to review by any court: (1) Any proceeding involving the issuance, renewal, modification or assignment of any instrument authorizing the construction or operation of radio facilities under Title III of the Communications Act of 1934, as amended. the (2) Any proceeding involving transfer of control of a corporate licensee or permittee under section 310 of the Communications Act. (3) Any revocation and/or cease and desist proceeding under section 312 of the Communications Act, unless and until the hearing is waived pursuant to the provisions of § 1.92. (4) Any proceeding involving the issuance or suspension of an operator license or permit under section 303(1) or (m) of the Communications Act. (5) Any proceeding conducted pursuant to the provisions of section 206, 207, 212, 214(a), 221(a), or 222(b), (c) or (d), of the Communications Act. (6) Any proceeding conducted pursuant to the provisions of section 201(c) (6), (7) or (9), or section 304(f), of the Communications Satellite Act of 1962. (b) In the following circumstances, in addition, proceedings involving applications filed under section 308 of the Communications Act are "restricted", as to interested persons, prior to their designation for hearing: (1) Application proceedings are restricted as to interested persons from the day on which a petition to deny is filed. (See section 309 (d) of the Communications Act.) If the petition is denied, the proceeding is restricted until the order disposing of the petition is no longer subject to reconsideration by the Commission or to review by any court. If the proceeding is designated for hearing, paragraph (a) of this section applies. (2) Application proceedings are restricted as to interested persons from the day on which public notice of the filing of a mutually exclusive application is given. Prior to the day on which public notice is given, such proceedings are restricted as to any interested person having actual knowledge that a mutually exclusive application has been filed. If action is taken by the applicants (or any of them) looking toward removal of the conflict between the applications, the restrictions continue until such action has been approved by the Commission and the Commission's order with respect thereto is no longer subject to reconsideration by the Commission. or to review by any court. See § 1.525. If the proceeding is designated for hearing, paragraph (a) of this section applies. (i) Except as provided in subdivision (ii) of this subparagraph, the "Public Notices" issued at regular intervals listing all applications and major amendments thereto which have been tendered (or, in non-broadcast services, accepted) for filing shall constitute public notice of the filing of a mutually exclusive application. See §§ 1.564 (c), 1.962(e) and 21.27(b) of this chapter. (ii) Where there is doubt as to whether two applications are in fact mutually exclusive, or where the conflict between the applications does not clearly appear from such regularly issued "Pub c Notices", the Commission will endeavor to issue specific public notices stating that there is a possibility of conflict between the applications. In such circumstances, the specific public notice, rather than the regularly issued "Public Notices" of applications tendered (or accepted) for filing, shall constitute pubHe notice for purposes of this section. Such public notices are based or. a preliminary review of the applications by the administrative staff and are accorded no significance in determining whether the applications should be designated for hearing.) §1.1205 Decision-making Commission personnel (restricted adjudicative proceedings). The following categories of persons are designated as decision-making Commission personnel in restricted adjudicative proceeding: (a) The Commissioners and their personal office staffs. (b) The Chief of the Office of Opinions and Review and his staff. (c) The Review Board and its staff. (d) The Chief Hearing Examiner, the bearing examiners, and the staff of the Office of Hearing Examiners. (e) The General Counsel and his staff. (f) The Chief Engineer and his staff. 1.1207 Restricted rule making proceedings. Rule making proceedings which are required by statute to be decided on the record after opportunity for hearing, including the following, are "restricted" from the time they are designated for Dearing until they are removed from hearing status, or have been decided by the Commission, and are no longer subJect to reconsideration by the CommisLon or to review by any court: (a) Any proceeding conducted pursuant to the provisions of section 201(a), 24, 205, 213(a), 214(d), 221(c), or 222 e of the Communications Act. b) Any proceeding involving the establishment of "charges, classifications, Practices, regulation, and other terms and conditions", or the allocation of available facilities and stations among users, conducted pursuant to the provisions of section 201(c) (2) of the Communications Satellite Act of 1962 ie Any rate making proceeding conducted pursuant to the provisions of secon 201(c)(5) of the Communications Satellite Act of 1962. § 1.1209 Decision-making Commission personnel (restricted rule making proceedings). The following categories of persons are designated as decision-making Commission personnel in restricted rule making proceedings: (a) The Commissioners and their personal office staffs. (b) The Chief of the Office of Opinions and Review and his staff. (c) The Chief Hearing Examiner, the hearing examiners, and the staff of the Office of Hearing Examiners. (d) The Chief of the Common Carrier Bureau and his staff. (e) The General Counsel and his staff. (f) The Chief Engineer and his staff. PROHIBITED PRESENTATIONS § 1.1221 Presentations prohibited in restricted proceedings which have been designated for hearing. Except as provided in § 1.1227, the following presentations are prohibited in restricted proceedings which have been designated for hearing: Persons out (a) Oral presentations. side the Commission and non-decisionmaking Commission personnel shall not, directly or indirectly, make or attempt to make any oral ex parte presentation. (b) Written presentations. Interested persons and non-decision-making Commission personnel shall not, directly or indirectly, make or attempt to make any written ex parte presentation. § 1.1223 Presentations prohibited in restricted application proceedings prior to their designation for hearing. As provided in § 1.1203 (b), certain application proceedings are "restricted" following the submission of a petition to deny or public notice of the filing of a mutually exclusive application. Except as provided in § 1.1227, no interested person shall, directly or indirectly, make or attempt to make any oral or written ex parte presentation to decision-making Commission personnel concerning such a proceeding. Nor, in the absence of public notice, shall such an ex parte presentation be made, directly or indirectly, by an interested person having actual knowledge that a mutually exclusive application has been filed. (a) No person shall solicit or encourage others to make any presentation which he is himself prohibited from making under the provisions of this subpart. (b) Except as provided in § 1.1227, decision-making personnel shall not solicit or encourage ex parte presentations from any person, and shall not entertain ex parte presentations which are made to them. § 1.1227 Permissible ex parte communications. The following communications shall not be considered to be ex parte presentations prohibited by the provisions of this subpart: (a) Ex parte communications authorized by statute or by the Commission's rules. (See, for example, § 1.333 (d).) However, pleadings which are required to be served but which may be ruled on ex parte do not fall within this category. (See, for example, §§ 1.296 and 1.298(a); such pleadings may not be submitted ex parte.) (b) Such ex parte communications initiated by the staff of the Common Carrier Bureau as may be necessary for the adducement of record evidence in restricted rule making proceedings. (c) Any communication made by or to the General Counsel or his staff concerning judicial review of any matter which has been decided by the Commission. (d) Any communication from an agency of the Federal Government involving classified security information. (e) Any request for information solely with respect to the status of a restricted proceeding. (Interested persons, however, are prohibited from directly or indirectly soliciting ex parte status inquiries.) (f) Any communication between decision-making and non-decision-making Commission personnel prior to the designation of a restricted proceeding for hearing. PROCEDURES FOR HANDLING EX PARTE Executive Director rather than to the addressee. (b) Unauthorized written ex parte communications which reach decisionmaking Commission personnel will be forwarded by them to the Executive Director. If the circumstances in which an unauthorized written ex parte presentation is made are not apparent from the presentation itself, a statement describing those circumstances shall be submitted to the Executive Director with the presentation. (c) Unauthorized written ex parte communications, and all statements and correspondence pertaining thereto, will be placed in a public file, which will be associated with, but not made a part of, the file or record of the restricted proceeding to which the communication pertains. Prior to designation for hearing, no such communication, statement or correspondence shall be considered, without disclosure, in determining the merits of a restricted proceeding. After designation for hearing, no such materials shall be considered in determining the merits of a restricted proceeding unless they are made a part of the record of that proceeding. (d) (1) If, in the judgment of the Executive Director, any unauthorized written ex parte presentation forwarded to him is prohibited by § 1.1221(b) or § 1.1223; or if in his judgment the presentation was solicited or encouraged in violation of § 1.1225; or if in his judgment the presentation should, for any other reason, be brought specifically to the attention of the parties, the Executive Director will serve copies of the presentation, together with copies of any statement describing the circumstances in which it was made, upon the parties to the proceeding. (2) If the written presentation is voluminous or the parties numerous, or if other circumstances satisfy the Executive Director that service of the presentation would be unduly burdensome, he may (in lieu of service) notify the parties to the proceeding that the presentation has been made and that it is available for public inspection. (e) A copy of any statement describing the circumstances in which any unauthorized written ex parte presentation was submitted will be forwarded to the person who submitted the presentation. Within 10 days after the statement is mailed to him, the person who submitted the presentation may himself file with the Executive Director a notarized statement with regard to these circumstances, which the Executive Director (if he deems service appropriate) may serve apon parties to the proceeding. 1.1243 Oral ex parte communications. (a) If an unauthorized oral ex parte presentation is made to decision-making Commission personnel, they will advise the person making the presentation that is prohibited and terminate the discussion of such matters. (b) If an unauthorized ex parte presantation has in fact been made, the person to whom the presentation was made shall forward to the Executive Director a statement containing such of the folwing information as is known to him: (1) The name of the restricted proceeding. (2) The name and address of the person making the presentation and his reationship (if any) to the parties to the proceeding or their attorneys. 3 The date and time of the presentation, its duration, and the circumcances (telephone, personal interview, casual meeting, etc.) under which it was made. 4) A brief statement as to the subtance of the matters discussed. 5) Whether the person making the presentation persisted in doing so after aving been advised that the presentaLis prohibited. 6 The date and time at which the statement was prepared. All statements submitted to the Executive Director pursuant to the proFons of this section, and all corre ndence pertaining thereto, will be aced in a public file, which will be ascated with, but not made part of, the record of the restricted proceeding which the presentation pertains. or to designation for hearing, no such ertation, statement or correspondce shall be considered, without disare, in determining the merits of a theted proceeding. After designafor hearing, no such materials shall considered in determining the merits a restricted proceeding unless they are ade a part of the record of that proceeding. d. All statements submitted to the Executive Director pursuant to the proviits of this section shall be served by Executive Director on the parties to the proceeding. If the parties are numerous, or if other circumstances satisfy the Executive Director that service of the statement would be unduly burdensome, he may (in lieu of service) notify the parties to the proceeding that the presentation has been made and that a statement with respect to it is available for public inspection. (e) The Executive Director will forward to the person who made the presentation a copy of the statement prepared by the person to whom the presentation was made. Within 10 days after that statement is mailed to him, the person who made the presentation may himself file with the Executive Director a notarized statement with respect to the substance of the presentation and the circumstances in which it was made, which the Executive Director (if he deems service appropriate) may serve upon parties to the proceeding. § 1.1245 Disclosure of information concerning ex parte presentations. Any party to a restricted proceeding who has substantial reason to believe that an unauthorized ex parte presentation has been solicited, attempted or made, or who has information regarding such a presentation, shall promptly advise the Executive Director in writing of all the facts and circumstances concerning that presentation which are known to him. (a) Parties. Upon notice and hearing, any party to a restricted proceeding who directly or indirectly makes any unauthorized ex parte presentation, who encourages or solicits others to make any such presentation, or who fails to advise the Executive Director of the facts and circumstances concerning an unauthorized ex parte presentation (see § 1.1245), may be disqualified from further participation in that proceeding. Such alternative or additional sanctions as may be appropriate may be imposed. (b) Commission personnel. Violations of the provisions of this subpart by Commission personnel will be disposed of in accordance with the procedures set forth in Administrative Order No. 10 and the penalties therein specified. (c) Other persons. Such sanctions as may be appropriate under the circum stances will be imposed upon other persons who violate the provisions of this subpart. APPENDIX A-A PLAN OF COOPERATIVE PROCEDURE IN MATTERS AND CASES UNDER THE PROVISIONS OF SECTION 410 OF THE COMMUNICATIONS ACT OF 1934 (Approved by the Federal Communications Commission October 25, 1938, and approved by the National Association of Railroad and Utilities Commissioners on November 17, 1938.) PRELIMINARY STATEMENT CONCERNING THE Sec. 410 of the Communications Act of 1934 authorizes cooperation between the Federal Communications Commission, hereinafter called the Federal Commission, and the State commissions of the several States, in the administration of said Act. Subsection (a) authorizes the reference of any matter arising in the administration of said Act to a board to be composed of a member or members from each of the States in which the wire, or radio communication affected by or involved in the proceeding takes place, or is proposed. Subsection (b) authorizes conferences by the Federal Commission with State commissions regarding the relationship between rate structures, accounts, charges, practices, classifications, and regulations of carriers subject to the jurisdiction of such State commissions and of said Federal Commission and joint hearings with State commissions in connection with any matter with respect to which the Federal Commission is authorized to act. Obviously, it is impossible to determine in advance what matters should be the subject of a conference, what matters should be referred to a board, and what matters should be heard at a joint hearing of State commissions and the Federal Commission. It is understood, therefore, that the Federal Commission or any State commission will freely suggest cooperation with respect to any proceedings or matter affecting any carrier subject to the jurisdiction of said Federal 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 failure 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. It is understood that each commission, whether or not represented in the National Association of Railroad and Utilities Commissioners, must determine its own course of action with respect to any proceeding in the light of the law under which, at any given time, it is called upon to act, and must be guided by its own views of public policy: and that no action taken by such Association can in any respect prejudice such freedom of action. The approval by the Association of this plan of cooperative procedure, which was jointly prepared by the Associa tion's standing Committee on Cooperation between Federal and State commissions and said Federal Commission, is accordingly recommendatory only; but such plan is designed to be, and it is believed that it will be, a helpful step in the promotion of cooperative relations between the State commissions and said Federal Commission. NOTICE OF INSTITUTION OF PROCEEDING Whenever there shall be instituted before the Federal Commission any proceeding involving the rates of any telephone or telegraph carrier, the State commissions of the States affected thereby will be notified immediately thereof by the Federal Commission, and each notice given a State commission will advise such commission that, if it deems the proceeding one which should be considered under the cooperative provisions of the Act, it should either directly or through the National Association of Railroad and Utilities Commissioners, notify the Federal Commission as to the nature of its interest in said matter and request a conference, the creation of a joint board, or a joint hearing as may be desired, indicating its preference and the reasons therefor. Upon receipt of such request the Federal Commission will consider the same and may confer with the commission making the request and with other interested commission, or with representatives of the National Association of Railroad and Utilities Commissioners, 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, directly when such cooperation will be by joint conference or by reference to a joint board appointed under said Sec. 410 (a), and, as hereinafter provided, when such cooperation will be by a joint hearing under said Sec 410 (b). Each State commission should in like manner notify the Fedreal Commission of any proceeding instituted before it involv ing the toll telephone rates or the telegraph rates of any carrier subject to the jurisdic tion of the Federal Commission. PROCEDURE GOVERNING JOINT CONFERENCES The Federal Commission, in accordanc with the indicated procedure, will confe with any State commission regarding an matter relating to the regulation of publi |