§ 1.1202   Definitions.

   For the purposes of this subpart, the following definitions apply:

   (a) Presentation. A communication directed to the merits or outcome of a
   proceeding,  including  any  attachments to a written communication or
   documents shown in connection with an oral presentation directed to the
   merits  or  outcome  of  a  proceeding.  Excluded  from  this term are
   communications  which  are  inadvertently  or casually made, inquiries
   concerning compliance with procedural requirements if the procedural matter
   is  not  an  area of controversy in the proceeding, statements made by
   decisionmakers that are limited to providing publicly available information
   about pending proceedings, and inquiries relating solely to the status of a
   proceeding, including inquiries as to the approximate time that action in a
   proceeding may be taken. However, a status inquiry which states or implies a
   view as to the merits or outcome of the proceeding or a preference for a
   particular party, which states why timing is important to a particular party
   or indicates a view as to the date by which a proceeding should be resolved,
   or  which otherwise is intended to address the merits or outcome or to
   influence the timing of a proceeding is a presentation.

   Note  to  paragraph  (a):  A  communication  expressing  concern about
   administrative delay or expressing concern that a proceeding be resolved
   expeditiously will be treated as a permissible status inquiry so long as no
   reason is given as to why the proceeding should be expedited other than the
   need to resolve administrative delay, no view is expressed as to the merits
   or outcome of the proceeding, and no view is expressed as to a date by which
   the proceeding should be resolved. A presentation by a party 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 (and responsive presentations by other
   parties) may be made on an ex parte basis subject to the provisions of
   § 1.1204(a)(11).

   (b) Ex parte presentation. Any presentation which:

   (1) If written, is not served on the parties to the proceeding; or

   (2) If oral, is made without advance notice to the parties and without
   opportunity for them to be present.

   Note to paragraph (b): Written communications include electronic submissions
   transmitted in the form of texts, such as by Internet electronic mail.

   (c) Decision-making personnel. Any member, officer, or employee of the
   Commission, or, in the case of a Joint Board, its members or their staffs,
   who  is  or may reasonably be expected to be involved in formulating a
   decision, rule, or order in a proceeding. Any person who has been made a
   party to a proceeding or who otherwise has been excluded from the decisional
   process  shall not be treated as a decision-maker with respect to that
   proceeding. Thus, any person designated as part of a separate trial staff
   shall  not  be  considered  a decision-making person in the designated
   proceeding.  Unseparated  Bureau  or  Office staff shall be considered
   decision-making personnel with respect to decisions, rules, and orders in
   which  their  Bureau or Office participates in enacting, preparing, or
   reviewing.

   (d) Party. Unless otherwise ordered by the Commission, the following persons
   are parties:

   (1) In a proceeding not designated for hearing, any person who files an
   application, waiver request, petition, motion, request for a declaratory
   ruling, or other filing seeking affirmative relief (including a Freedom of
   Information Act request), and any person (other than an individual viewer or
   listener  filing comments regarding a pending broadcast application or
   members of Congress or their staffs or branches of the federal government or
   their staffs) filing a written submission referencing and regarding such
   pending  filing  which  is  served on the filer, or, in the case of an
   application, any person filing a mutually exclusive application;

   Note 1 to paragraph (d)(1): Persons who file mutually exclusive applications
   for  services  that  the  Commission  has announced will be subject to
   competitive bidding or lotteries shall not be deemed parties with respect to
   each others' applications merely because their applications are mutually
   exclusive.  Therefore,  such  applicants may make presentations to the
   Commission about their own applications provided that no one has become a
   party with respect to their application by other means, e.g., by filing a
   petition or other opposition against the applicant or an associated waiver
   request, if the petition or opposition has been served on the applicant.

   (2) Any person who files a complaint or request to revoke a license or other
   authorization or for an order to show cause which shows that the complainant
   has served it on the subject of the complaint or which is a formal complaint
   under 47 U.S.C. 208 and § 1.721 of this chapter or 47 U.S.C. 255 and either
   § § 6.21 or 7.21 of this chapter, and the person who is the subject of such a
   complaint or request that shows service or is a formal complaint under 47
   U.S.C. 208 and § 1.721 of this chapter or 47 U.S.C. 255 and either § § 6.21 or
   7.21 of this chapter;

   (3) The subject of an order to show cause, hearing designation order, notice
   of apparent liability, or similar notice or order, or petition for such
   notice or order;

   (4) In a proceeding designated for hearing, any person who has been given
   formal party status; and

   (5) In an informal rulemaking proceeding conducted under section 553 of the
   Administrative Procedure Act (other than a proceeding for the allotment of a
   broadcast  channel) or a proceeding before a Joint Board or before the
   Commission to consider the recommendation of a Joint Board, members of the
   general public after the issuance of a notice of proposed rulemaking or
   other order as provided under § 1.1206(a) (1) or (2).

   Note  2 to paragraph (d): To be deemed a party, a person must make the
   relevant filing with the Secretary, the relevant Bureau or Office, or the
   Commission as a whole. Written submissions made only to the Chairman or
   individual Commissioners will not confer party status.

   Note  3 to paragraph (d): The fact that a person is deemed a party for
   purposes of this subpart does not constitute a determination that such
   person has satisfied any other legal or procedural requirements, such as the
   operative  requirements  for  petitions  to deny or requirements as to
   timeliness. Nor does it constitute a determination that such person has any
   other  procedural  rights,  such  as the right to intervene in hearing
   proceedings. The Commission or the staff may also determine in particular
   instances that persons who qualify as “parties” under § 1.1202(d) should
   nevertheless not be deemed parties for purposes of this subpart.

   Note 4 to paragraph (d): Individual listeners or viewers submitting comments
   regarding a pending broadcast application pursuant to § 1.1204(a)(8) will not
   become parties simply by service of the comments. The Media Bureau may, in
   its  discretion,  make  such a commenter a party, if doing so would be
   conducive to the Commission's consideration of the application or would
   otherwise be appropriate.

   Note 5 to paragraph (d): A member of Congress or his or her staff, or other
   agencies or branches of the federal government or their staffs will not
   become  a party by service of a written submission regarding a pending
   proceeding that has not been designated for hearing unless the submission
   affirmatively seeks and warrants grant of party status.

   (e) Matter designated for hearing. Any matter that has been designated for
   hearing before an administrative law judge or which is otherwise designated
   for hearing in accordance with procedures in 5 U.S.C. 554.

   [ 62 FR 15854 , Apr. 3, 1997, as amended at  64 FR 68947 , Dec. 9, 1999;  64 FR 72571 , Dec. 28, 1999;  65 FR 56261 , Sept. 18, 2000;  67 FR 13224 , Mar. 21,
   2002;  76 FR 24381 , May 2, 2011]

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Sunshine Period Prohibition

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