1 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

2 CEC Staff § NOTICING PROCEDURES; SETTING OF HEARINGS, PRESENTATIONS, CONFERENCES, MEETINGS, WORKSHOPS, AND SITE VISITS 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.

3 Applying Ethic’s Ex Parte Rules

4 Adjudicatory Hearings

5 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

6 Ethics Regarding Gifts

7 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

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

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?