§  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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