FCC'S REVISED EX PARTE RULES

An ex parte presentation is a communication directed to the merits or outcome of a proceeding that, if written, is not served on all the parties to a proceeding, and if oral, is made without advance notice to the parties and an opportunity for them to be present.

The ex parte rules specify three types of Commission proceedings for ex parte purposes -- (i) "exempt" proceedings, in which ex parte presentations may be made freely, (ii) "permit-but-disclose" proceedings, in which ex parte presentations to Commission decision-making personnel are permissible but subject to certain disclosure requirements (i.e., a copy of written presentations and a summary of oral presentations must be filed in the record), and (iii) "restricted" proceedings, in which ex parte presentations to and from Commission decision-making personnel are generally prohibited (i.e., written materials must generally be served on all parties and all parties must have an opportunity to be present at oral presentations).

The rules governing ex parte presentations in Commission proceedings are found in sections 1.1200 to 1.1216 of volume 47 of the Code of Federal Regulations. The rules were substantially revised effective June 2, 1997, by FCC 97-92, released March 19, 1997. They were further amended effective January 10, 2000, by FCC 99-322, released November 9, 1999. Additionally, the Managing Director made a further editorial amendment effective January 28, 2000, by DA 99-2788, released December 17, 1999. It is important that all those doing business with the Commission be familiar with the amended rules. They are an important means of protecting the integrity of the Commission's processes. The following documents will help you become acquainted with the new rules.

In response to questions about compliance with reporting requirements in permit-but-disclose proceedings, the Commission has issued a public notice reminding participants in permit-but-disclose proceedings, such as rulemakings, of their responsibilities. Among other things, the public notice provides:

Persons orally presenting data or arguments not already reflected in their written submissions in the proceeding must file summaries of the new data or arguments. The summaries must describe the substance of the new data or arguments and not merely list the subjects discussed. Generally, more than a one or two sentence description is required. Where there is ambiguity about whether data or arguments are already in the public record, the spirit of our rules would counsel parties to briefly summarize the matters discussed at the meeting. See 47 C.F.R. § 1.1206(b)(2).

Two hard copies of written presentations or summaries of oral presentations must be submitted to the Commission's Secretary no later than the next business day after the presentation, with copies to the Commissioners or Commission employees to whom the presentations were made. 47 C.F.R. § 1.1206(b). Alternatively, in rulemaking proceedings, a single copy of the written presentation or summary may be filed electronically.

Any party to a proceeding or any Commission employee who has substantial reason to believe that any violation of this subpart has been solicited, attempted, or committed shall promptly advise the Office of General Counsel in writing of all the facts and circumstances which are known to him or her.

This may be done by sending a letter addressed to: Office of General Counsel, Attention: Ex parte complaints, Federal Communications Commission, 445 12th Street, S.W., Washington, D.C. 20554 (by United States Postal Service, including USPS overnight delivery), or Office of General Counsel, Attention: Ex parte complaints, Federal Communications Commission, 9300 East Hampton Drive, Capitol Heights, MD 20743 (by commercial overnight mail).

For further information about the ex parte rules, contact the Federal Communications Commission, David Senzel in the Office of General Counsel, Administrative Law Division at David.Senzel@fcc.gov or (202) 418-1720.