General Provisions

PURPOSE: This rule sets forth provisions that are applicable to both ex parte and extrarecord communications. (1) Any person that intends to file a case shall file a notice with the secretary of the commission a minimum of sixty (60) days prior to filing such case. Such notice shall detail the type of case and issues likely to be before the commission and shall include a summary of all communication regarding substantive issues likely to be in the case between the filing party and the office of the commission that occurred in the ninety (90) days prior to filing the notice. The filing of such notice shall initiate a new noticed case and be assigned an appropriate case designation and number. If the expected case filing is subsequently made, it shall be filed in the noticed case. If the expected case filing is not made within one hundred eighty (180) days, the noticed case shall close. (A) The commission may reject any filing not in compliance with this section. (B) This section shall not apply to small formal complaints under commission rule 4 CSR 240-2.070 or small utility rate cases under commission rule 4 CSR 240-3.050. (C) This section shall not apply to formal complaints under section 386.390, RSMo, or commission rule 4 CSR 240-2.070. However, formal complaints shall include, contemporaneous with the filing initiating the complaint, a summary of any communication regarding substantive issues likely to be in the case between the filing party and the office of the commission that occurred in the sixty (60) days prior to filing the complaint. (D) A party may request a waiver of this section for good cause. Good cause for waiver may include, among other things, a verified declaration from the filing party that it has had no communication with the office of the commission within the prior one hundred fifty (150) days regarding any substantive issue likely to be in the case or that circumstances prevented filing the required notice and delaying the filing for sixty (60) days would cause harm. (2) Unless properly admitted into evidence in subsequent proceedings, no ex parte or extrarecord communication shall be considered as part of the record on which the commission reaches a decision in a contested case. (3) A utility regulated by the commission that offers a tour of its facilities to the office of the commission shall also offer the Office of the Public Counsel an opportunity to participate in that tour. If a commissioner chooses to participate in a tour, the tour shall be posted to that commissioner’s calendar at least fortyeight (48) hours in advance. (4) Each commissioner shall maintain a public calendar on the commission’s website to which the commissioners’ regulatory activities may be posted. (5) It is improper for any person interested in a case or noticed case to— (A) Attempt to influence the judgment of the commission by bringing pressure to bear upon the office of the commission outside of the case process, or (B) Seek to elicit representations from the office of the commission before a case or noticed case is filed regarding the commission’s future rulings or any commissioner’s positions in future deliberations. (6) Pursuant to section 386.210.4, RSMo, nothing in this rule shall be construed as imposing any limitation on the free exchange of ideas, views, and information between any person and the commission or any commissioner, provided that such communications relate to matters of general regulatory policy and do not address substantive issues in or likely to be in a case or noticed case AUTHORITY: section 386.410, RSMo 2016.* This rule originally filed as 4 CSR 240-4.017. Original rule filed Nov. 28, 2016, effective July 30, 2017. Moved to 20 CSR 4240-4.017, effective Aug. 28, 2019. *Original authority: 386.410, RSMo 1939, amended 1947, 1977, 1996.