 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.
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 TEAM HITS BUZZER
 JANE SELECTS TEAM
 TEAM MEMBER STATES
QUESTION
What are California
Rules of Professional
Conduct for contact
with officials?