Cal. Code Regs. tit. 20 § 12.1

Current through Register 2024 Notice Reg. No. 49, December 6, 2024

Section 12.1 - (Rule 12.1) Proposal of Settlements

(a) Parties may, by written motion any time after the first prehearing conference and within 30 days after the last day of hearing, propose settlements on the resolution of any material issue of law or fact or on a mutually agreeable outcome to the proceeding. Settlements need not be joined by all parties; however, settlements in applications must be signed by the applicant and, in complaints, by the complainant and defendant.

The motion shall contain a statement of the factual and legal considerations adequate to advise the Commission of the terms of the settlement, including any separate agreements between the settling parties that relate to issues in the proposed settlement but are not disclosed in the settlement (e.g., if a party agrees to a proposed settlement as a condition for receiving a benefit not expressed in the proposed settlement's terms), and of the grounds on which adoption is urged. Resolution shall be limited to the issues in that proceeding and shall not extend to substantive issues which may come before the Commission in other or future proceedings.

When a settlement pertains to a proceeding under a Rate Case Plan or other proceeding in which a comparison exhibit would ordinarily be filed, the motion must be supported by a comparison exhibit indicating the impact of the settlement in relation to the utility's application and, if the participating staff supports the settlement, in relation to the issues staff contested, or would have contested, in a hearing.

(b) Prior to signing any settlement, the settling parties shall convene at least one conference with notice and opportunity to participate provided to all parties for the purpose of discussing settlements in the proceeding. Notice of the date, time, and place shall be served on all parties at least seven (7) days in advance of the conference, unless all parties stipulate to reduce the time or waive the need for service. Notice of any subsequent settlement conferences may be oral, may occur less than seven days in advance, and may be limited to prior conference attendees and those parties specifically requesting notice.

Attendance at any settlement conference shall be limited to the parties and their representatives.

(c) Settlements should ordinarily not include deadlines for Commission approval; however, in the rare case where delay beyond a certain date would invalidate the basis for the proposal, the timing urgency must be clearly stated and fully justified in the motion.

(d) The Commission will not approve settlements, whether contested or uncontested, unless the settlement is reasonable in light of the whole record, consistent with law, and in the public interest. The Commission may reject any proposed settlement for failure to disclose the information required pursuant to subsection (a) of this rule.

Cal. Code Regs. Tit. 20, § 12.1

1. New article 12 heading and renumbering of former section 51.1 to new section 12.1, including amendment of section heading and section filed 9-13-2006; operative 9-13-2006 pursuant to Government Code section 11351(a) (Register 2006, No. 37).
2. Amendment of subsection (b) filed 1-30-2018; operative 4-1-2018. Submitted to OAL for limited review pursuant to Government Code section 11351 and Public Utilities Code section 311(h) (Register 2018, No. 5).
3. Amendment of subsections (a) and (d) filed 3-15-2021; operative 5-1-2021 pursuant to Government Code section 11343.4(b)(3). Submitted to OAL for limited review pursuant to Government Code section 11351 and Public Utilities Code section 311(h) (Register 2021, No. 12).

Note: Authority cited: Section 1701, Public Utilities Code. Reference: Section 1701, Public Utilities Code.

1. New article 12 heading and renumbering of former section 51.1 to new section 12.1, including amendment of section heading and section filed 9-13-2006; operative 9-13-2006 pursuant to Government Code section 11351(a) (Register 2006, No. 37).
2. Amendment of subsection (b) filed 1-30-2018; operative 4/1/2018. Submitted to OAL for limited review pursuant to Government Code section 11351 and Public Utilities Code section 311(h) (Register 2018, No. 5).
3. Amendment of subsections (a) and (d) filed 3-15-2021; operative 5/1/2021 pursuant to Government Code section 11343.4(b)(3). Submitted to OAL for limited review pursuant to Government Code section 11351 and Public Utilities Code section 311(h) (Register 2021, No. 12).