Jane Luckhardt - Ethics Rules

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Adjudicatory Proceedings – no ex parte communications allowed with all Commissioners, all advisors and all hearing officers (20 CCR

§

1216 incorporating Administrative Procedure

Act)

Procedural ex parte communications are ok

Rulemaking or Policy Proceedings – ex parte communications allowed, no notice required

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CEC Staff

§ 1711 1710. NOTICING PROCEDURES; SETTING OF HEARINGS,

PRESENTATIONS, CONFERENCES, MEETINGS, WORKSHOPS, AND SITEVISITS

PUBLIC NOTICE OF DISCUSSIONS AMONG PARTIES.

(a) All hearings, presentations, conferences, meetings, workshops, and site visits shall be open to the public and noticed as required by section 1209; subsection (b); provided, however, these requirements do not apply to communications between parties, including staff, for the purpose of exchanging information or discussing procedural issues. Information includes facts, data, measurements, calculations and analyses related to the project.

Discussions between the staff and any other party to modify the staff's positions or recommendations regarding substantive issues shall be noticed. The sStaff may also meet with any governmental agency, not a party to the proceedings, for the purpose of discussing any matter related to the project without public notice.

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Applying Ethic’s Ex Parte Rules

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Adjudicatory

Hearings

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Rulemaking

Quasi-legislative actions like rulemaking allow ex parte meetings and contacts with staff and CARB Board Members

Any meetings with Board Members within 45 days prior to Board vote on rulemaking obligate the Board Member to disclose the meeting

No meetings with more than two Board Members at a time

Can set up meetings directly with Board Members or through the

Board liaison

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Ethics Regarding Gifts

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California Nonprofit Public Benefit Corporation

Not subject to Administrative Procedure Act

No ex parte rules or filings required

All typical ex parte requirements apply to FERC action on

CAISO tariff requests

Code of Conduct and Ethical Principles

Entertainment, gifts and favors must never be accepted if they are intended to, or may appear to, influence your decision or judgement

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Upcoming Changes

Recent Legislation (i.e. SB 48, SB 660, AB 825, AB 1023)

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Jeopardy & Prizes

How Jeopardy Works?

JANE READS THE ANSWER

A member shall not directly or indirectly communicate with or argue to a judge or judicial officer upon the merits of a contested matter pending before such judge or judicial officer except:

In open court

With the consent of all other counsel

In the presence of all other counsel

In writing with a copy furnished to all other counsel, or

In ex parte matters.

TEAM HITS BUZZER

JANE SELECTS TEAM

TEAM MEMBER STATES

QUESTION

What are California

Rules of Professional

Conduct for contact with officials?

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