§  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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