counsel, advise, consult, or assist in representing any other person (other then the United States) by personal presence at any formal or informal appearance before the Commission in connection with any particular Commission matter involving a specific party in which he or she participated personally and substantially as an employee. See 18 U.S.C. 207(b) and 5 CFR 737.9 and 737.33.

(e) One-year restriction on a former senior employee's transactions with former agency on a particular matter, regardless of prior involvement. (1) No former Commissioner or senior employee (as defined in paragraph (h)) of the Commission (other than a special Goverment employee who serves for fewer than 60 days in a calendar year), within one year after such employment has ceased, shall knowingly act as agent or attorney for, or otherwise represent, any person (other than the United States) in any formal or informal appearance before, or, with the intent to influence, make any oral or written communication to the Commission on behalf of anyone (including himself or herself) other than the United States in connection with any particular Commission matter (whether or not involving a specific party) which is pending before the Commission or in which the Commission has a direct and substanital interest. See 18 U.S.C. 207(c) and 5 CFR 737.11 and 737.33.

(2) The prohibition of this subsection shall not apply to appearances, communications, or representation by a former Commissioner or employee, who is an elected official of a State or local government, or whose principal occupation or employment is with (i) an agency or instrumentality of a State or local government, (ii) an accredited, degree-granting institution of higher education, as defined in section 1201(a) of the Higher Education Act of 1965, or (iii) a hospital or medical research organization, exempted and defined under section 501(c)(3) of the Internal Revenue Code of 1954, and the appearance, communication, or representation is on behalf of such government, institution, hospital, or organization. See 18 U.S.C. 207(d)(2) and 5 CFR 737.11(b).

(3) The prohibition contained in this subsection shall not apply to appear

ances or communications by a former Commissioner or employee concerning matters of a personal and individual nature; nor shall the prohibition of this subsection prevent a former Commissioner or employee from making or providing a statement which is based on the former Commissioner's or employee's own special knowledge in the particular area that is the subject of the statement, provided that no compensation is thereby received, other than that regularly provided for by law or regulation for witnesses. See 18 U.S.C. 207(i) and 5 CFR 737.11 (h) and (i).

(f) The prohibitions of paragraphs (c), (d), and (e) of this section shall not apply with respect to the making of communications solely for the purpose of furnishing scientific or technological information under procedures acceptable to the Commission. See 18 U.S.C. 207(f) and 5 CFR 737.15.

(g) The prohibitions of paragraphs (c), (d), and (e) of this section shall not apply if the Commission, in consultation with the Director of the Office of Government Ethics, makes a certification, published in the FEDERAL REGISTER, that the former Commissioner or employee has outstanding qualifications in a scientific, technological, or other technical discipline, and is acting with respect to a particular matter which requires such qualifications, and that the national interest would be served by the participation of the former Commissioner or employee. See 18 U.S.C. 207(f) and 5 CFR 737.17.

(h)(1) The phrase "senior employee," when used in this section, means an officer or employee in a position established within the Senior Executive Service (pursuant to the Civil Service Reform Act of 1978) or a position for which the basic rate of pay is equal to or greater than the basic pay rate of GS-17 of the General Schedule prescribed by 5 U.S.C. 5332, and who has significant decisionmaking or supervisory responsibility. Such officers and employees are so designated by the Office of Government Ethics in consultation with the head of the agency. See 5 CFR 737.25 and 737.33.

(2) The phrase "particular Commission matter involving a specific party," when used in paragraphs (c) and (d) of

this section, means any judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, investigation, charge, accusation, arrest or other particular matter involving a specific party or parties in which the Commission is a party or has a direct and substantial interest.

NOTE: Such a matter typically involves a specific proceeding affecting the legal rights of the parties or an isolatable transaction or related set of transactions between identifiable parties. Rulemaking, legislation, the formulation of general policy, standards or objectives, or other action of general application is not such a matter. Therefore, a former Commission employee may represent another person in connection with a particular matter involving a specific party even if rules or policies which he or she had a role in establishing are involved in the proceeding.

(3) The phrase "participated personally and substantially" as used in this section is defined in 5 CFR 737.5(d).

(4) The phrase "official responsibility" as used in this section is defined in 5 CFR 737.7(b).

(i) Nothing in this section shall prevent a former Commissioner or employee from giving testimony under oath or from making statements required to be made under penalty of perjury. See 18 U.S.C. 207(h) and 5 CFR 737.19.

(j) Measurement of the restriction periods contained in this section is outlined in 5 CFR 737.7(e), 737.9(e), and 737.11(j).

(k) If the Commission finds, after notice and opportunity for a hearing, that such former, Commissioner or employee violated the prohibitions of this section, the Commission may prohibit that person from making, on behalf of any other person (except the United States), any informal or formal appearances before, or, with the intent to influence, any oral or written communication to, the Commission on a pending matter of business for a period not to exceed five years, or may take other appropriate disciplinary action. Such disciplinary action shall be subject to review in an appropriate United States district court. See 18 U.S.C. 207(j).

(Secs. 4(1) and 303(r), Communications Act of 1934, as amended, 47 U.S.C. 154(i) and 303(r); 18 U.S.C. 207(j))

[28 FR 13785, Dec. 18, 1963, as amended at 48 FR 44800, Sept. 30, 1983]

$1.26 Appearances.

Rules relating to appearances are set forth in §§ 1.87, 1.91, 1.221, and 1.703. §1.27 Witnesses; right to counsel.

Any individual compelled to appear in person in any Commission proceeding may be accompanied, represented, and advised by counsel as provided in this section. (Regulations as to persons seeking voluntarily to appear and give evidence are set forth in §1.225.)

(a) Counsel may advise his client in confidence, either upon his own initiative or that of the witness, before, during, and after the conclusion of the proceeding.

(b) Counsel for the witness will be permitted to make objections on the record, and to state briefly the basis for such objections, in connection with any examination of his client.

(c) At the conclusion of the examination of his client, counsel may ask clarifying questions if in the judgment of the presiding officer such questioning is necessary or desirable in order to avoid ambiguity or incompleteness in the responses previously given.

(d) Except as provided by paragraph (c) of this section, counsel for the witness may not examine or cross-examine any witness, or offer documentary evidence, unless authorized by the Commission to do so.

with the Designated Agency Ethics Official (see 47 CFR 0.231(i)).

(2) On receipt of information regarding a possible violation of §1.25 of this * part or 18 U.S.C. 207, and after determining that such information appears substantiated, the General Counsel ■ shall expeditiously provide such information, along with any comments or Commission regulations, to the Director of the Office of Government Ethics and to the Criminal Division, Department of Justice. The Commission shall coordinate any investigation on administrative action with the Department of Justice to avoid prejudicing criminal proceedings, unless the Department of Justice communicates to the Commission that it does not intend to initiate criminal prosecution.

(3) Whenever the Commission has determined after appropriate review that there is reasonable cause to believe that a former Commissioner or Commission employee has violated §1.25 of this part or 18 U.S.C. 207, it may designate the matter for an administrative disciplinary proceeding.

(c) Hearing. (1) Upon designating such matter for an administrative disciplinary proceeding, the Commission shall provide the former Commissioner or former Commission employee with notice of an intention to institute a proceeding and an opportunity for a hearing. Such notice shall include: (i) A statement of allegations (and the basis thereof) sufficiently detailed to enable the former Commission employee to prepare an adequate defense; (ii) notification of the right to a hearing; and (iii) an explanation of the method by which a hearing may be requested.

(2) If such former Commissioner or Commission employee has failed to request a hearing within the time specified after receiving adequate notice or has waived the opportunity for a hearing, the Commission may take such administrative action as outlined in paragraph (d) of this section.

(3)(1) The presiding official at proceedings under this section shall be the Chairman or an individual designated by the Chairman or by the Commission.

(ii) The presiding official at such proceeding must be a Commissioner, a member of the Review Board, an Ad

ministrative Law Judge, an attorney employed by the Commission, or a person qualified to practice law as provided in §1.23 of this part. The presiding official shall be provided with appropriate administrative and secretarial support by the Managing Director.

(iii) The presiding official shall be impartial. No individual who has participated in any manner in the decision to initiate the proceeding may serve as the presiding official in those proceedings.

(4) The hearing shall be conducted at a reasonable time, date, and place. In setting a hearing date, the presiding official shall give due regard to the former government employee's need for: (i) Adequate time to prepare a defense properly; and (ii) an expeditious resolution of allegations that may be damaging to his or her reputation.

(5) The hearing shall include, at a minimum, the following rights for all parties: (i) To represent oneself or to be represented by counsel; (ii) to introduce and examine witnesses and to submit physical evidence; (iii) to confront and cross-examine adverse witnesses; (iv) to present oral argument; and (v) to a transcript or recording of the proceedings, on request.

(6) In any hearing under this section, the Commission has the burden of proof and must establish substantial evidence of a violation.

(7)(i) The presiding official shall make a determination exclusively on matters of record in the proceeding, and shall set forth in an initial decision all findings of fact and conclusions of law relevant to the matters at issue.

(ii) Within 30 days after the initial decision, any party to the proceeding may appeal the decision to the Commission. Unless the Commission orders otherwise, other parties to the proceeding may file comments within 20 days after such appeal is filed, and the party which filed such appeal may file a reply within 10 days after the period for filing comments has expired. The Commission shall base its decision on such appeal solely on the record of the proceedings or those portions thereof cited by the parties to limit the issues. (iii) If the Commission modifies or reverses the initial decision, it shall specify such findings of fact and con

clusions of law as are different from those of the presiding official.

(d) Administrative sanctions. The Commission may take appropriate action in the case of any individual who failed to request a hearing after receiving adequate notice or who was found in violation of §1.25 of this part, of 5 CFR part 737, or of 18 U.S.C. 207 after a final administrative decision, by: (1) Prohibiting the individual from making, on behalf of any other person (except the United States), any formal or informal appearance before, or with the intent to influence, any oral or written communication to, the Commission on any matter of business for a period not to exceed five years, which may be accomplished by directing Commission employees to refuse to participate in any such appearance or to accept any such communication; (2) taking other appropriate disciplinary action.

(e) Judicial review. Any person found to have participated in a violation of §1.25 of this part, of 5 CFR part 737, or of 18 U.S.C. 207 may seek judicial review of the administrative determination.

(Secs. 4(1) and 303(r), Communications Act of 1934, as amended, 47 U.S.C. 154(i) and 303(r); 18 U.S.C. 207(j))

[48 FR 44801, Sept. 30, 1983]

§1.29 Current partners of current employees.

No current partner of a current Commissioner or current Commission employee (including a special Government employee) shall act as agent or attorney for anyone (other than the United States) before the Commission in connection with any particular Commission matter in which such Commissioner or employee participates or has participated personally and substantially as a Commissioner or employee, or which is the subject of his or her official responsibility. See 18 U.S.C. 207(g) and 5 CFR 737.21.

(Secs. 4(1) and 303(r), Communications Act of 1934, as amended, 47 U.S.C. 154(i) and 303(r); 18 U.S.C. 207(j))

[48 FR 44802, Sept. 30, 1983]

PLEADINGS, BRIEFS, AND OTHER PAPERS

§1.41 Informal requests for Commission action.

Except where formal procedures are required under the provisions of this chapter, requests for action may be submitted informally. Requests should set forth clearly and concisely the facts relied upon, the relief sought, the statutory and/or regulatory provisions (if any) pursuant to which the request is filed and under which relief is sought, and the interest of the person submitting the request.

$1.42 Applications, reports, complaints; cross-reference.

(a) Rules governing applications and reports are contained in subparts D, E, and F of this part.

(b) Special rules governing complaints against common carriers arising under the Communications Act are set forth in subpart E of this part.

§1.43 Requests for stay; cross-ref

erence.

General rules relating to requests for stay of any order or decision are set forth in §§1.41, 1.44(e), 1.45(d) and (e), and 1.298(a). See also §§1.102, 1.106(n), and 1.115(h).

§1.44 Separate pleadings for different requests.

(a) Requests requiring action by the Commission shall not be combined in a pleading with requests for action by an administrative law judge or by any person or persons acting pursuant to delegated authority.

(b) Requests requiring action by an administrative law judge shall not be combined in a pleading with requests for action by the Commission or by any person or persons acting pursuant to delegated authority.

(c) Requests requiring action by any person or persons pursuant to delegated authority shall not be combined in a pleading with requests for action by any other person or persons acting pursuant to delegated authority.

(d) Pleadings which combine requests in a manner prohibited by paragraph (a), (b), or (c) of this section may be re

turned without consideration to the person who filed the pleading.

(e) Any request to stay the effectiveness of any decision or order of the Commission shall be filed as a separate pleading. Any such request which is not filed as a separate pleading will not be considered by the Commission.

NOTE: Matters which are acted on pursuant to delegated authority are set forth in subpart B of part 0 of this chapter. Matters acted on by the hearing examiner are set forth in §0.341.

$1.45 Pleadings; filing periods.

Except as otherwise provided in this chapter, pleadings in Commission proceedings shall be filed in accordance with the provisions of this section.

(a) Oppositions. Oppositions to any motion, petition, or request may be filed within 10 days after the original pleading is filed. For matters related to part 22 of the rules, these microfiche copies must be filed within 15 calendar days of the paper filing (see § 22.6).

(b) Replies. The person who filed the original pleading may reply to oppositions within 5 days after the time for filing oppositions has expired. The reply shall be limited to matters raised in the oppositions, and the response to all such matters shall be set forth in a single pleading; separate replies to individual oppositions shall not be filed. For matters related to part 22 of the rules, three microfiche copies must be filed within 15 calendar days of the paper filing (see §22.6).

(c) Additional pleadings. Additional pleadings may be filed only if specifically requested or authorized by the Commission.

(d) Requests for temporary relief; shorter filing periods. Oppositions to a request for stay of any order or to a request for other temporary relief shall be filed within 7 days after the request is filed. Replies to oppositions should not be filed and will not be considered. The provisions of §1.4(h) shall not apply in computing the filing date for oppositions to a request for stay or for other temporary relief.

(e) Er parte disposition of certain pleadings. As a matter of discretion. the Commission may rule ex parte upon requests for continuances and extensions of time, requests for permission to file

pleadings in excess of the length prescribed in this chapter, and requests for temporary relief, without waiting for the filing of oppositions or replies.

NOTE: Where specific provisions contained in part 1 conflict with this section, those specific provisions are controlling. See, in particular, §§ 1.294(c), 1.298(a), and 1.773.

[28 FR 12415, Nov. 22, 1963, as amended at 33 FR 7153, May 15, 1968; 45 FR 64190, Sept. 29, 1980; 54 FR 31032, July 26, 1989; 54 FR 37682, Sept. 12, 1989]

§1.46 Motions for extension of time.

(a) It is the policy of the Commission that extensions of time shall not be routinely granted.

(b) Motions for extension of time in which to file responses to petitions for rulemaking, replies to such responses, comments filed in response to notice of proposed rulemaking, replies to such comments and other papers in rulemaking proceedings conducted under subpart C of this part shall be filed at least 7 days before the filing date. If a timely motion is denied, the responses and comments, replies thereto, or other papers need not be filed until 2 business days after the Commission acts on the motion. In emergency situations, the Commission will consider a late-filed motion for a brief extension of time related to the duration of the emergency and will consider motions for acceptance of comments, reply comments or other papers filed after the filing date.

(c) If a motion for extension of time in which to file papers in proceedings other than notice and comment rule making proceedings is filed less than 7 days prior to the day for filing the papers, the party filing the motion shall (in addition to serving the motion on other parties) orally notify other parties and Commission staff personnel responsible for acting on the motion that the motion has been (or is being) filed. [39 FR 43301, Dec. 12, 1974, as amended at 41 FR 9550, Mar. 5, 1976; 41 FR 14871, Apr. 8, 1976; 42 FR 28887, June 6, 1977]

§ 1.47 Service of documents and proof of service.

(a) Where the Commission or any person is required by statute or by the provisions of this chapter to serve any document upon any person, service