§ 1.1212   Procedures for handling of prohibited ex parte presentations.

   (a) Commission personnel who believe that an oral presentation which is
   being  made to them or is about to be made to them is prohibited shall
   promptly advise the person initiating the presentation that it is prohibited
   and shall terminate the discussion.

   (b) Commission personnel who receive oral ex parte presentations which they
   believe are prohibited shall forward to the Office of General Counsel a
   statement containing the following information:

   (1) The name of the proceeding;

   (2) The name and address of the person making the presentation and that
   person's relationship (if any) to the parties to the proceeding;

   (3)  The  date  and  time  of  the presentation, its duration, and the
   circumstances under which it was made;

   (4) A full summary of the substance of the presentation;

   (5) Whether the person making the presentation persisted in doing so after
   being advised that the presentation was prohibited; and

   (6) The date and time that the statement was prepared.

   (c) Commission personnel who receive written ex parte presentations which
   they believe are prohibited shall forward them to the Office of General
   Counsel. If the circumstances in which the presentation was made are not
   apparent  from  the  presentation itself, a statement describing those
   circumstances shall be submitted to the Office of General Counsel with the
   presentation.

   (d) Prohibited written ex parte presentations and all documentation relating
   to prohibited written and oral ex parte presentations shall be placed in a
   public file which shall be associated with but not made part of the record
   of the proceeding to which the presentations pertain. Such materials may be
   considered in determining the merits of a restricted proceeding only if they
   are made part of the record and the parties are so informed.

   (e) If the General Counsel determines that an ex parte presentation or
   presentation during the Sunshine period is prohibited by this subpart, he or
   she  shall  notify  the  parties  to  the proceeding that a prohibited
   presentation has occurred and shall serve on the parties copies of the
   presentation (if written) and any statements describing the circumstances of
   the presentation. Service by the General Counsel shall not be deemed to cure
   any violation of the rules against prohibited ex parte presentations.

   (f) If the General Counsel determines that service on the parties would be
   unduly burdensome because the parties to the proceeding are numerous, he or
   she may issue a public notice in lieu of service. The public notice shall
   state that a prohibited presentation has been made and may also state that
   the presentation and related materials are available for public inspection.

   (g) The General Counsel shall forward a copy of any statement describing the
   circumstances in which the prohibited ex parte presentation was made to the
   person who made the presentation. Within ten days thereafter, the person who
   made the presentation may file with the General Counsel a sworn declaration
   regarding the presentation and the circumstances in which it was made. The
   General Counsel may serve copies of the sworn declaration on the parties to
   the proceeding.

   (h) Where a restricted proceeding precipitates a substantial amount of
   correspondence from the general public, the procedures in paragraphs (c)
   through  (g) of this section will not be followed with respect to such
   correspondence. The correspondence will be placed in a public file and be
   made available for public inspection.

   [ 62 FR 15857 , Apr. 3, 1997]

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