Section 15-130. SETTLEMENT AND STIPULATION CONFERENCES

 

130.1Unless otherwise ordered, counsel for the Staff shall not initiate arrangements for an initial settlement conference. Staff shall not schedule a conference prior to any deadlines which may exist for filing petitions to intervene in or to become a party to a proceeding.

 

130.2Staff shall file a report on the outcome of the initial settlement conference within ten (10) days after the convening of the conference.

 

130.3The initial settlement conference scheduled by the Staff under this section shall not preclude the parties from meeting at any other times as they deem necessary for the purpose of settlement and stipulation.

 

130.4All parties shall be allowed to file proposed orders on matters of agreement.

 

130.5All parties participating in settlement conferences shall do so either personally or through representatives empowered to act on behalf of the party and ultimately bind the party to any settlement.

 

130.6Statements made and documents considered by parties during the course of settlement negotiations and conferences shall be confidential and non-discoverable, and shall not be admissible as evidence or raised in arguments by parties.

 

130.7All filings contemplated under this section shall recite, in addition to the matters agreed upon at the conference, the date, time, and place of the conference, and the names of the parties in attendance.

 

130.8A party may waive the confidentiality of its own disclosures. A party who has made public disclosures about matters that have also been considered in settlement negotiations and conferences may be deemed to have waived the confidentiality of its own disclosures, but not those of other parties.

 

130.9In order to ensure the confidentiality of settlement proceedings, persons who are not parties may be excluded from settlement conferences and negotiations.

 

130.10Settlements may be presented at any time prior to the issuance of a final decision. When a settlement is presented to the Commission, the settlement shall do the following:

 

(a)Be reduced to writing;

 

(b)Contain all of the terms and conditions agreed upon by the signatories;

 

(c)Be clearly and accurately labeled unanimous or nonunanimous;

 

(d)Be clearly and accurately labeled partial or full;

 

(e)Indicate whether any party who has not executed the settlement will oppose its adoption;

 

(f)Indicate whether the provisions of the agreement are severable; and

 

(g)Stipulate the admission into evidence of testimony and exhibits filed in the proceeding by the signing parties; Provided, that in the case of a partial settlement, only testimony and exhibits related to the settled matters shall be stipulated to for admission into evidence.

 

130.11A full settlement presented in a base rate change application or other contested case, which would have an impact on a utility's customers, competitors, or the public, shall only be accepted after a hearing on whether the settlement is in the public interest.

 

130.12At the hearing held pursuant to §130.11, non-signatory parties shall be provided the opportunity to cross-examine the witness(es) tendered by the signatory parties on whether the settlement agreement is in the public interest.

 

130.13A Commission decision to adopt a nonunanimous settlement as a resolution on the merits shall be based upon substantial evidence upon the record.

 

130.14A party who does not sign settlement documents may not defeat or challenge a settlement simply by refusing to sign the document.

 

130.15A settlement which fully or partially resolves a proceeding, before the Commission, shall have no precedential effect on future proceedings.

 

130.16Given the negotiated nature of a settlement, the Commission shall either accept or reject a settlement in its entirety, unless the parties have specifically stated that the provisions of the settlement are severable.

 

130.17If a settlement is rejected, the Commission may take various steps, including the following:

 

(a)Allow the parties time to renegotiate a settlement;

 

(b)Propose alternative terms to the parties and allow the parties a reasonable time within which to elect to accept such terms or request other relief; or

 

(c)Proceed with litigation of the case.

 

source

Final Rulemaking published at 28 DCR 2984, 3007 (July 3, 1981); as amended by Final Rulemaking published at 42 DCR 2340, 2341 (May 12, 1995); and by Final Rulemaking published at 39 DCR 5117, 5122 (July 10, 1992).