La. Admin. Code tit. 46 § LXX-12904

Current through Register Vol. 50, No. 11, November 20, 2024

Section LXX-12904 - Stipulated Settlement Agreements

A. Applicability. This rule applies to the stipulated settlement of all issues by all parties, or any set of issues categorized for separate hearing, in any proceeding before the Commission, the Hearing Panel or the Hearing Master. In scheduling hearings, priority shall be given to any proposed stipulated settlement. A minimum of ten (10) days notice of the hearing must be sent to all parties in the proceeding, unless there is pressing public need for expedited hearing.

B. Uncontested Proposed Stipulated Settlements. When all parties to a proceeding reach an agreement as to all issues in the form of a Proposed Stipulated Settlement signed by all parties or their representatives (Uncontested Stipulated Settlement), the following procedures shall be followed.

1. Filing. Upon the filing of an Uncontested Stipulated Settlement, executed by all parties, any previously established procedural schedule may be continued without date by the Commission, the Hearing Panel or the Hearing Master.

2. Timing of Filing. Parties may file an Uncontested Stipulated Settlement at any time after the deadline has passed for filing interventions.

3. Hearings. In all cases, except as provided in Part B.6, or I, a hearing before the Commission shall be held on the Uncontested Stipulated Settlement by the Commission, Hearing Panel or the Hearing Master upon the parties' filing of the following supporting documentation:

a. copies of any documents, sworn supporting testimony in affidavit form, financial analysis, and exhibits which support the Uncontested Stipulated Settlement; and

b. A joint motion for the scheduling of a stipulation hearing.

4. Procedure at the Stipulation Hearing. At the hearing, the parties shall call the witnesses whose testimony was filed with the Uncontested Stipulated Settlement, and shall introduce into evidence the signed Uncontested Stipulated Settlement, as well as the supporting documentation. Affidavits, in lieu of live testimony, may be submitted.

5. Post-Hearing Report. Within ten (10) days of the hearing date, the Hearing Panel or the Hearing Master shall forward to all Commissioners, a report of the evidence and testimony supporting the Uncontested Stipulated Settlement and a copy of the Uncontested Stipulated Settlement. As soon as possible after the report is issued, the Commission shall issue and Order accepting and implementing the Uncontested Stipulated Settlement in whole or in part, or rejecting the Uncontested Stipulated Settlement in whole or in part. If the matter is initially heard by the full Commission, as soon as possible after the conclusion of the hearing, the Commission shall issue and Order accepting and implementing the Uncontested Stipulated Settlement in whole or in part, or rejecting the Uncontested Stipulated Settlement in whole or in part.

6. Consideration Without Hearing. The Commission, for reason of public need, may dispense with the requirement of a stipulation hearing and consider an Uncontested Stipulated Settlement based upon the filed documentation at a regular or special Commission Meeting.

C. Uncontested Proposed Partial Stipulated Settlements. When all parties to a proceeding reach agreement with regard to some, but not all, issues in the form of a Proposed Partial Stipulated Settlement signed by all parties or their representatives (an Uncontested Proposed Partial Stipulated Settlement), all provisions of this Rule that apply to Uncontested Proposed Stipulated Settlements shall apply except that the previously established procedural schedule referred to at Section B.1. above shall not be continued without date as to the remaining issues. A hearing on the merits shall be heard at the time and in accordance with a new procedural schedule to be set by the Hearing Panel or the Hearing Master.

D. Contested Proposed Stipulated Settlements. When two or more non-aligned parties, but not all parties, reach agreement with regard to all issues ( the Agreeing Parties) in the form of a Proposed Stipulated Settlement signed by the Agreeing Parties or their representatives (a Contested Stipulated Settlement), the Agreeing Parties may initiate a process culminating in the Commissioners' consideration of their proposal as follows.

1. Initiation of the Process. Any two or more Agreeing Parties in a contested proceeding before the Commission may file a Contested Stipulated Settlement and request a hearing (Request).

2. Contents of Request. The Request shall consist of the following:

a. a joint motion by the Agreeing Parties requesting a Stipulation Hearing;

b. the Stipulated Settlement, signed by all Agreeing Parties, attesting to their agreement with its terms;

c. copies of any document, testimony in affidavit form, financial analysis, or exhibit which supports the Stipulated Settlement, together with a statement of how the proposed settlement is in the public interest;

d. citations to law or jurisprudence which support the Stipulated Settlement; and

e. if the proceeding is a rate proceeding, a proposed tariff form incorporating the Stipulated Settlement.

3. Time for Filing Request. The Request may be filed at any time after the time frame permitted in the procedural schedule for general discovery has ended, but no later than 15 days prior to the hearing on the merits except upon a showing of good cause.

4. Service of Request. The Request (in full) shall be served, concurrently with its filing with the Administrator.

5. Effect of Filed Request on Existing Procedural Schedule. Upon the timely filing of a Request, the Hearing Panel or Hearing Master may continue without date the previously established procedural schedule.

6. Evaluation of Confidential Information. Parties to the proceeding shall have an opportunity to review confidential documents involved in the settlement. If the documents are not included with the Request, they shall be made available for immediate review subject to a confidentiality agreement. Upon a showing of good cause, the Hearing Panel or Hearing Master may extend the time period for filing comments to allow for the examination of confidential documents.

7. Contents of Comments. Comments contesting a proposed Stipulated Settlement or any portion of it shall consist of:

a. a specific listing of each element of the Stipulated Settlement which is being contested, together with the commenting party's reasons for contesting those elements;

b. copies of any document, testimony in affidavit form, financial analysis, or exhibit which supports the commenting party's position; and

c. citations to law or jurisprudence that support the commenting party's position.

8. Time for Filing Comments

a. Comments must be filed with the Administrative Hearings Division within 30 days of the filing of the Request.

b. The comments (in full) shall be served, concurrently with their filing with the Administrator, on all parties of record.

9. Waiver. The failure to file timely comments shall constitute a waiver of all objections to the Stipulated Settlement.

10. Rebuttal Comments

a. The Agreeing Parties may file rebuttal comments to timely filed comments contesting the Stipulated Settlement.

b. Such rebuttal comments shall be filed with the Administrator within 7 days of the deadline for filing comments. This time period may be extended or shortened by the Hearing Panel or Hearing Master upon a showing of good cause.

c. The rebuttal comments (in full) shall be served, concurrently with its filing with the Administrator, upon all parties of record.

d. Rebuttal comments shall consist of:

i. copies of any document, testimony in affidavit form, financial analysis, or exhibit which rebuts the timely filed comments by other parties; and

ii. citations to law or jurisprudence that rebut the timely filed comments by other parties.

11. Procedure When No Contesting Comments are Filed. When no comments contesting the proposed Contested Stipulated Settlement are filed within the time frame for doing so, it shall become an Uncontested Stipulated Settlement and the hearing procedures provided for in Part B shall apply.

E. Stipulation Hearings. In scheduling hearings, the Hearing Panel or Hearing Master charged with the hearing shall give priority to any proposed stipulated settlement. A minimum of 10 days notice of the hearing must be sent to all parties in the proceeding, unless there is a pressing public need for expedited hearing.

1. Uncontested Proposed Stipulated Settlements. When no comments contesting the proposed Contested Stipulated Settlement are filed within the time frame for doing so, it shall become an Uncontested Stipulated Settlement and the same hearing procedures shall apply as provided at Section B herein.

2. Contested Proposed Stipulated Settlements. When comments contesting the proposed Contested Stipulated Settlement are filed within the time frame for doing so, the following procedures shall apply.

a. Contested Stipulated Settlement Hearings. A hearing shall be held on all Contested Stipulated Settlements within fifteen (15) days of receiving comments. At the hearing, all parties shall introduce into evidence the testimony and documentation (including the Stipulated Settlement) previously filed into the record, and nothing more. The witnesses who provided the previously filed testimony in affidavit form shall be present at the hearing, where their direct testimony shall be limited to the testimony previously provided in affidavit form. The witnesses shall be subject to cross-examination by the other parties, followed by re-direct examination by the sponsoring parties. Parties to the proceeding who failed to file timely comments contesting the Stipulated Settlement shall not be allowed to present witnesses or evidence or cross-examine witnesses.

b. Within ten (10) days of the hearing, the Hearing Panel or Hearing Master shall issue a recommendation to the Commissioners with regard to the Stipulated Settlement.

F. Discovery/Admissibility of Settlement Discussions, Admissions, or Concessions. Discovery shall not be permitted during the Stipulated Settlement process, except by permission of the Commission, Hearing Panel or the Hearing Master upon a showing of good cause. Settlement discussions, admissions or concessions are not subject to discovery and are not admissible in evidence, except by agreement of all parties.

G. Non-Approval Of Proposed Stipulated Settlement. In the event the Commission does not approve a Stipulated Settlement, the Commission, Hearing Panel or the Hearing Master shall schedule a status conference to establish a new procedural schedule which includes a hearing on the merits.

H. Burden of Proof with Regard to Proposed Stipulated Settlements. The parties proposing a stipulated settlement shall have the burden of proving that the stipulated settlement is reasonable in light of the record, consistent with the law, and not contrary to the public interest.

I. Exception

1. Notwithstanding any of the above provisions in this Rule, the Commission may, on its own motion, vote to waive any and/or all of the requirements of this Rule and ratify and/or approve a stipulated settlement if it finds it to be in the public interest.

La. Admin. Code tit. 46, § LXX-12904

Promulgated by the Office of the Governor, Pilotage Fee Commission, LR 32:625 (April 2006).

AUTHORITY NOTE: Promulgated in accordance with R.S. 49:967 and Pilotage Fee Commission Rule 60.