Sec. 1.1204  Exempt ex parte presentations and proceedings.

    (a) Exempt ex parte presentations. The following types of 
presentations are exempt from the prohibitions in restricted proceedings 
(Sec. 1.1208), the disclosure requirements in permit-but-disclose 
proceedings (Sec. 1.1206), and the prohibitions during the Sunshine 
Agenda and circulation period prohibition (Sec. 1.1203):
    (1) The presentation is authorized by statute or by the Commission's 
rules to be made without service, see, e.g., Sec. 1.333(d), or involves 
the filing of required forms;
    (2) The presentation is made by or to the General Counsel and his or 
her staff and concerns judicial review of a matter that has been decided 
by the Commission;
    (3) The presentation directly relates to an emergency in which the 
safety of life is endangered or substantial loss of property is 
threatened, provided that, if not otherwise submitted for the record, 
Commission staff promptly places the presentation or a summary of the 
presentation in the record and discloses it to other parties as 
appropriate.
    (4) The presentation involves a military or foreign affairs function 
of the United States or classified security information;
    (5) The presentation is to or from an agency or branch of the 
Federal Government or its staff and involves a matter over which that 
agency or branch and the Commission share jurisdiction provided that, 
any new factual information obtained through such a presentation that is 
relied on by the Commission in its decision-making process will, if not 
otherwise submitted for the record, be disclosed by the Commission no 
later than at the time of the release of the Commission's decision;
    (6) The presentation is to or from the United States Department of 
Justice or Federal Trade Commission and involves a telecommunications 
competition matter in a proceeding which has not been designated for 
hearing and in which the relevant agency is not a party provided that, 
any new factual information obtained through such a presentation that is 
relied on by the Commission in its decision-making process will be 
disclosed by the Commission no later than at the time of the release of 
the Commission's decision;

    Note 1 to paragraph (a): Under paragraphs (a)(5) and (a)(6) of this 
section, information will be relied on and disclosure will be made only 
after advance coordination with the agency involved in order to ensure 
that the agency involved retains control over the timing and extent of 
any disclosure that may have an impact on that agency's jurisdictional 
responsibilities. If the agency involved does not wish such information 
to be disclosed, the Commission will not disclose it and will disregard 
it in its decision-making process, unless it fits within another 
exemption not requiring disclosure (e.g., foreign affairs). The fact 
that an agency's views are disclosed under paragraphs (a)(5) and (a)(6) 
does not preclude further discussions pursuant to, and in accordance 
with, the exemption.

    (7) The presentation is between Commission staff and an advisory 
coordinating committee member with respect to the coordination of 
frequency assignments to stations in the private land mobile services or 
fixed services as authorized by 47 U.S.C. 332;
    (8) The presentation is a written presentation made by a listener or 
viewer of a broadcast station who is not a party under 
Sec. 1.1202(d)(1), and the presentation relates to a pending application 
that has not been designated for hearing for a new or modified broadcast 
station or license, for renewal of a broadcast station license or for 
assignment or transfer of control of a broadcast permit or license;

[[Page 244]]

    (9) Confidentiality is necessary to protect persons making ex parte 
presentations from possible reprisals; or
    (10) The presentation is requested by (or made with the advance 
approval of) the Commission or staff for the clarification or adduction 
of evidence, or for resolution of issues, including possible settlement, 
subject to the following limitations:
    (i) This exemption does not apply to restricted proceedings 
designated for hearing;
    (ii) In restricted proceedings not designated for hearing, any new 
written information elicited from such request or a summary of any new 
oral information elicited from such request shall promptly be served by 
the person making the presentation on the other parties to the 
proceeding. Information relating to how a proceeding should or could be 
settled, as opposed to new information regarding the merits, shall not 
be deemed to be new information for purposes of this section. The 
Commission or its staff may waive the service requirement if service 
would be too burdensome because the parties are numerous or because the 
materials relating to such presentation are voluminous. If the service 
requirement is waived, copies of the presentation or summary shall be 
placed in the record of the proceeding and the Commission or its staff 
shall issue a public notice which states that copies of the presentation 
or summary are available for inspection. The Commission or its staff may 
determine that service or public notice would interfere with the 
effective conduct of an investigation and dispense with the service and 
public notice requirements;
    (iii) If the presentation is made in a proceeding subject to permit-
but-disclose requirements, disclosure must be made in accordance with 
the requirements of Sec. 1.1206(b), provided, however, that the 
Commission or its staff may determine that disclosure would interfere 
with the effective conduct of an investigation and dispense with the 
disclosure requirement. As in paragraph (a)(10)(ii) of this section, 
information relating to how a proceeding should or could be settled, as 
opposed to new information regarding the merits, shall not be deemed to 
be new information for purposes of this section;

    Note 2 to paragraph (a): If the Commission or its staff dispenses 
with the service or notice requirement to avoid interference with an 
investigation, a determination will be made in the discretion of the 
Commission or its staff as to when and how disclosure should be made if 
necessary. See Amendment of Subpart H, Part I, 2 FCC Rcd 6053, 6054 
Paras. 10-14 (1987).

    (iv) If the presentation is made in a proceeding subject to the 
Sunshine period prohibition, disclosure must be made in accordance with 
the requirements of Sec. 1.1206(b) or by other adequate means of notice 
that the Commission deems appropriate;
    (v) In situations where new information regarding the merits is 
disclosed during settlement discussions, and the Commission or staff 
intends that the product of the settlement discussions will be disclosed 
to the other parties or the public for comment before any action is 
taken, the Commission or staff in its discretion may defer disclosure of 
such new information until comment is sought on the settlement proposal 
or the settlement discussions are terminated.
    (11) The presentation is an oral presentation in a restricted 
proceeding requesting action by a particular date or giving reasons that 
a proceeding should be expedited other than the need to avoid 
administrative delay. A summary of the presentation shall promptly be 
filed in the record and served by the person making the presentation on 
the other parties to the proceeding, who may respond in support or 
opposition to the request for expedition, including by oral ex parte 
presentation, subject to the same service requirement.
    (b) Exempt proceedings. Unless otherwise provided by the Commission 
or the staff pursuant to Sec. 1.1200(a), ex parte presentations to or 
from Commission decision-making personnel are permissible and need not 
be disclosed with respect to the following proceedings, which are 
referred to as ``exempt'' proceedings:
    (1) A notice of inquiry proceeding;
    (2) A petition for rulemaking, except for a petition requesting the 
allotment of a broadcast channel (see also

[[Page 245]]