170 Ind. Admin. Code 1-1.5-3

Current through October 23, 2024

Section 170 IAC 1-1.5-3 - Violations

Authority: IC 8-1-1-3

Affected: IC 8-1

Sec. 3.

(a) Unless required for the disposition of ex parte matters specifically authorized by statute, rule, or order of the commission, members of the commission, an attorney assigned to a particular proceeding as an administrative law judge, and a technical employee assigned to advise the commission in a particular proceeding may not communicate, directly or indirectly, regarding an issue in a proceeding while the proceeding is pending with:

(1) a party;

(2) a party's employee, attorney, or representative;

(3) an entity known to act on behalf of a party;

(4) a person who has:

(A) a direct interest in the outcome of the proceeding; or

(B) served as an investigator or advocate in the proceeding or in its preadjudicative stage;

(5) an attorney assigned counsel to a member of commission staff designated as testimonial staff in a particular proceeding; or

(6) a technical employee directed to file a report in the proceeding; without notice and opportunity for all parties to participate in the communication.

(b) Unless required for the disposition of ex parte matters specifically authorized by statute, rule, or order of the commission, a person described in subsection (a)(1), (a)(2), (a)(3), (a)(4), (a)(5), or (a)(6) may not communicate, directly or indirectly, regarding an issue in a proceeding while the proceeding is pending with:

(1) a member of the commission;

(2) an attorney assigned to a particular proceeding as an administrative law judge; or

(3) a technical employee assigned to advise the commission in a particular proceeding; without notice and opportunity for all parties to participate in the communication.

(c) For the purposes of this rule, the director and staff of the commission's consumer affairs division are not parties in docketed proceedings and may be communicated with at any time, including after a consumer affairs division decision or referral is docketed before the commission, by members and employees of the commission and by those listed in subsection (a).

(d) This section does not prohibit a person from communicating ex parte with a member or employee of the commission with respect to undisputed administrative or procedural matters in connection with a proceeding.

(e) Only to the extent not otherwise inconsistent with this rule, a person may make educational or informational communications that are not intended to persuade or advocate a position on an issue in a particular proceeding while the proceeding is pending.

170 IAC 1-1.5-3

Indiana Utility Regulatory Commission; 170 IAC 1-1.5-3; filed Dec 9, 1996, 10:00 a.m.: 20 IR 939; readopted filed Jul 11, 2001, 4:30 p.m.: 24 IR 4233; readopted filed Apr 24, 2007, 8:21 a.m.: 20070509-IR-170070147RFA; filed Dec 3, 2007, 10:30 a.m.: 20080102-IR-170070379FRA; Readopted filed 7/29/2014, 8:39 a.m.: 20140827-IR-170140181RFA

Readopted filed 4/15/2020, 12:02 p.m.: 20200513-IR-170200084RFA

Filed 6/10/2020, 7:38 a.m.: 20200708-IR-170190378FRA