matthew l. harvey office of general counsel illinois commerce commission
DESCRIPTION
ETHICS AND TRANSPARENCY Regulatory Partnership Republic of Kosovo and the Illinois Commerce Commission October 28, 2008. Matthew L. Harvey Office of General Counsel Illinois Commerce Commission. OVERVIEW. Three Topics Ethical obligations of Commissioners and Staff members - PowerPoint PPT PresentationTRANSCRIPT
![Page 1: Matthew L. Harvey Office of General Counsel Illinois Commerce Commission](https://reader035.vdocuments.mx/reader035/viewer/2022081420/5681351b550346895d9c733a/html5/thumbnails/1.jpg)
Matthew L. HarveyOffice of General Counsel
Illinois Commerce Commission
![Page 2: Matthew L. Harvey Office of General Counsel Illinois Commerce Commission](https://reader035.vdocuments.mx/reader035/viewer/2022081420/5681351b550346895d9c733a/html5/thumbnails/2.jpg)
OVERVIEWThree Topics
Ethical obligations of Commissioners and Staff members
Treatment of Confidential Information
Open Meetings
![Page 3: Matthew L. Harvey Office of General Counsel Illinois Commerce Commission](https://reader035.vdocuments.mx/reader035/viewer/2022081420/5681351b550346895d9c733a/html5/thumbnails/3.jpg)
Commissioners and Commission Staff
![Page 4: Matthew L. Harvey Office of General Counsel Illinois Commerce Commission](https://reader035.vdocuments.mx/reader035/viewer/2022081420/5681351b550346895d9c733a/html5/thumbnails/4.jpg)
Ethical Obligations - GenerallyMaintain high ethical standards both in official capacity, and off-the-job
Avoid anything that appears improper
![Page 5: Matthew L. Harvey Office of General Counsel Illinois Commerce Commission](https://reader035.vdocuments.mx/reader035/viewer/2022081420/5681351b550346895d9c733a/html5/thumbnails/5.jpg)
Sources of Ethical ObligationsCommission RulesState Statute
![Page 6: Matthew L. Harvey Office of General Counsel Illinois Commerce Commission](https://reader035.vdocuments.mx/reader035/viewer/2022081420/5681351b550346895d9c733a/html5/thumbnails/6.jpg)
Commission Rules-ProhibitionsPublic position for private gainPreferential treatmentLosing impartialityDiscussing pending matters outside
of channelsImpeding efficiencyAdversely affecting public
confidence in Commission
![Page 7: Matthew L. Harvey Office of General Counsel Illinois Commerce Commission](https://reader035.vdocuments.mx/reader035/viewer/2022081420/5681351b550346895d9c733a/html5/thumbnails/7.jpg)
Ethical Standards – Case Study
Hotly-contested rate caseCommissioner made hundreds of phone calls friends at utility
No evidence that talks were on improper subjects
![Page 8: Matthew L. Harvey Office of General Counsel Illinois Commerce Commission](https://reader035.vdocuments.mx/reader035/viewer/2022081420/5681351b550346895d9c733a/html5/thumbnails/8.jpg)
Court Ruling – Case StudyCommissioner was required to recuse self
from decisionEthical obligations violated
Failed to maintain appearance of impartialityCreated appearance of impropriety and biasFailed to disclose conversations – required by
statute
![Page 9: Matthew L. Harvey Office of General Counsel Illinois Commerce Commission](https://reader035.vdocuments.mx/reader035/viewer/2022081420/5681351b550346895d9c733a/html5/thumbnails/9.jpg)
State StatutesIllinois Public Utilities ActIllinois Administrative Procedure Act
State Officials and Employees Ethics Act
Gift Ban Act
![Page 10: Matthew L. Harvey Office of General Counsel Illinois Commerce Commission](https://reader035.vdocuments.mx/reader035/viewer/2022081420/5681351b550346895d9c733a/html5/thumbnails/10.jpg)
Ethical Requirements – Public Utilities Act
Disclosure of ex parte communications
Commissioner must recuse self from decisions in which personally interested
![Page 11: Matthew L. Harvey Office of General Counsel Illinois Commerce Commission](https://reader035.vdocuments.mx/reader035/viewer/2022081420/5681351b550346895d9c733a/html5/thumbnails/11.jpg)
Revolving Door ProhibitionCommissioner can’t represent utility regulated
by ICC for 1 year after leaving CommissionCommissioner can’t represent utility regulated
by ICC for 3 years after leaving CommissionCommissioner can’t represent utility in matter
in which Commissioner participatedStaff members prohibited from getting job with
utility or entity that represents utility while employed at Commission
![Page 12: Matthew L. Harvey Office of General Counsel Illinois Commerce Commission](https://reader035.vdocuments.mx/reader035/viewer/2022081420/5681351b550346895d9c733a/html5/thumbnails/12.jpg)
Conflict of Interest– Public Utilities ActCan’t own interest in regulate companiesMust disqualify self from proceeding where
impartiality might reasonably be questionedBiasRecent employment by or representation of
litigantAssociation with firm during last 3 yearsFinancial interestFamily relationship
Commissioner must disclose basis for disqualification in writing
![Page 13: Matthew L. Harvey Office of General Counsel Illinois Commerce Commission](https://reader035.vdocuments.mx/reader035/viewer/2022081420/5681351b550346895d9c733a/html5/thumbnails/13.jpg)
Administrative Procedure ActRequires Commission decisions to
be based on the record in the case, and nothing outside of it
Also requires disclosure of ex parte contacts
![Page 14: Matthew L. Harvey Office of General Counsel Illinois Commerce Commission](https://reader035.vdocuments.mx/reader035/viewer/2022081420/5681351b550346895d9c733a/html5/thumbnails/14.jpg)
Gift Ban Act – Prohibited ActsAccept things of value from prohibited
sourcesApplies to family membersExceptions:
Costs of attending seminarsExpenses incurred for travel to meetings for
the purpose of discussing state businessMealsCheap Stuff (baseball hats, t-shirts, mouse
pads)
![Page 15: Matthew L. Harvey Office of General Counsel Illinois Commerce Commission](https://reader035.vdocuments.mx/reader035/viewer/2022081420/5681351b550346895d9c733a/html5/thumbnails/15.jpg)
Gift Ban Act – Prohibited Sources
Companies the Commission regulates
People who want state businessPeople who want to effect Commission decisions
Registered lobbyists
![Page 16: Matthew L. Harvey Office of General Counsel Illinois Commerce Commission](https://reader035.vdocuments.mx/reader035/viewer/2022081420/5681351b550346895d9c733a/html5/thumbnails/16.jpg)
State Official and Employee Ethics ActPrimarily intended to:
prohibit requiring state employees from contributing to /working on political campaigns; or
Rewarding state employees with pay increase / promotion for contributing to /working on political campaigns
Never been a problem at the Commission
![Page 17: Matthew L. Harvey Office of General Counsel Illinois Commerce Commission](https://reader035.vdocuments.mx/reader035/viewer/2022081420/5681351b550346895d9c733a/html5/thumbnails/17.jpg)
State Official and Employee Ethics ActAlso requires:
Commissioners and Commission Staffers who engage in certain policy and decision making functions to publicly disclose certain business and ownership interests and income other than state salary
Failure or refusal to do so is among other things a basis for discharge
Yearly ethics testing for employees
![Page 18: Matthew L. Harvey Office of General Counsel Illinois Commerce Commission](https://reader035.vdocuments.mx/reader035/viewer/2022081420/5681351b550346895d9c733a/html5/thumbnails/18.jpg)
![Page 19: Matthew L. Harvey Office of General Counsel Illinois Commerce Commission](https://reader035.vdocuments.mx/reader035/viewer/2022081420/5681351b550346895d9c733a/html5/thumbnails/19.jpg)
Confidentiality of InformationCitizens may inspect and copy
documents filed with public bodies like the Commission
Utilities often file trade secrets or confidential commercial or financial information that would be valuable to competitors
![Page 20: Matthew L. Harvey Office of General Counsel Illinois Commerce Commission](https://reader035.vdocuments.mx/reader035/viewer/2022081420/5681351b550346895d9c733a/html5/thumbnails/20.jpg)
Confidentiality RequirementsCommission required to insure
confidential information is protected from disclosure
Commissioners and Staff are subject to criminal prosecution for improperly disclosing confidential information
![Page 21: Matthew L. Harvey Office of General Counsel Illinois Commerce Commission](https://reader035.vdocuments.mx/reader035/viewer/2022081420/5681351b550346895d9c733a/html5/thumbnails/21.jpg)
Designation of Confidential InformationUtilities typically self designate
information as confidentialOther parties may challenge designationAdministrative law judges and
Commission decide whether designation is proper
Confidential information is generally shared with company lawyers, but not business people
![Page 22: Matthew L. Harvey Office of General Counsel Illinois Commerce Commission](https://reader035.vdocuments.mx/reader035/viewer/2022081420/5681351b550346895d9c733a/html5/thumbnails/22.jpg)
![Page 23: Matthew L. Harvey Office of General Counsel Illinois Commerce Commission](https://reader035.vdocuments.mx/reader035/viewer/2022081420/5681351b550346895d9c733a/html5/thumbnails/23.jpg)
Open MeetingsIllinois Open Meetings Law requires meetings of public bodies to be open
Commission meetings are usually open to the public under Open Meetings Law and Public Utilities Act
![Page 24: Matthew L. Harvey Office of General Counsel Illinois Commerce Commission](https://reader035.vdocuments.mx/reader035/viewer/2022081420/5681351b550346895d9c733a/html5/thumbnails/24.jpg)
Open Meeting - RequirementsGive notice of scheduled meetings at the beginning of each year
Publish agenda of the business done at the meeting
Keep minutes of meetingsA quorum of Commissioners must be present to hold a meeting
![Page 25: Matthew L. Harvey Office of General Counsel Illinois Commerce Commission](https://reader035.vdocuments.mx/reader035/viewer/2022081420/5681351b550346895d9c733a/html5/thumbnails/25.jpg)
Exceptions – Open MeetingsCertain matters may be discussed in closed non-public session
Two that the Commission deals withlitigation personnel questions