Ethics ensure that utilities and all consumers have confidence the regulatory system is fair. This section will provide an overview of ethics codes for Commissioners.
Ethical rules governing commissioners may prohibit or require disclosure of certain matters that may create a conflict of interest or present the appearance of a conflict. There are a host of possible scenarios that could create a conflict. Generally, a conflict of interest arises when commissioner or member of commissioner’s immediate family has a vested interest in a matter or case pending before the commission.
Ethics and Conflict
Introduction – the Reason for Ethics
- Generic, not easy to identify
- Requires constant monitoring and recognition of status as trusted public servant
Canons adopted by NARUC (1977)
- Commissioners should uphold integrity of his/her commission
- Commissioners should avoid impropriety and the appearance of impropriety in all activities
- Commissioners should perform the duties of office impartially and diligently
- Commissioner may engage in activities to improve regulation and administration; and
- Commissioner should regulate his or her outside activities to minimize the risk of conflict
- Impact of digital activities
- Prior to appointment/election
- During tenure
- Financial Investments
Ex Parte
Latin phrase meaning “on one side only: by or for one party.”
Ex parte communication occurs when one party to a case talks writes or communicates directly with a commissioner, administrative law judge, or other decision maker in the commission about the issues in a pending case without the knowledge of other parties to the case. Freedom of Information Act (FOIA) – Federal Inspiration for State Public Information Acts
- Purpose – law that keeps citizens in the know about their government. Access to records inspires citizen confidence in government actions. FOIA https://www.foia.gov/foia-statute.html.
- Various exemptions (nine- listed, but not discussed here)
- "An ounce of prevention is worth more than pound of cure."
- Considerations before taking action
- Would you like it read back to you by elected officials?
- Would you like to see it on the evening news?
- 1. Ownership and maintenance
- Other considerations
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- ii. Catchall – may explore digital issues here a little more
Ex Parte Communications
Ex parte means – done with respect to or in the interests of one side only or of an interested outside party. It occurs when:47
- One party to a case
- Talks or writes or communicates directly with the commissioner, administrative law judge, or other decision makers in the commission
- About the issues in a pending case
- With the knowledge of other parties to the case.
Ex parte communications are prohibited, and if it occurs, there are certain requirements for notification. The following steps are required in response to ex parte communications:48
- Report communication within a certain time frame (as set by rule or statute)
- Include date, time, and location – type of communication
- Identity of the decision maker, interested person and others present
- Topic of communication
Once an ex parte communication is public – it is no longer ex parte.
47. Ex Parte Ethical Considerations, Secretary Rosemary Chiavetta, NARUC Publication https://pubs.naruc.org/pub/0044874A-9215-A729-A7CD-F2B688B43BBE
48. Id. at 2