Cal. Code Regs. Tit. 1, § 1028 - Settlement Conferences; Settlements

Current through Register 2022 Notice Reg. No. 14, April 8, 2022

(a) After a Case is assigned to OAH, any party may file with OAH and Serve on all parties a request for a settlement conference. A request for a settlement conference shall be directed to the Presiding Judge. If the request is granted, OAH shall set the date and time for the conference. Regulation 1022 does not apply to a request for a settlement conference.
(b) Each respondent and his or her representative and an agency counsel or other representative, if the agency is not represented by counsel, shall appear in person at all settlement conferences. Each party or representative who attends the settlement conference shall be fully familiar with the facts and issues in the Case and shall have authority, or be able to obtain authority immediately by telephone, to negotiate settlement terms subject to the approval by the agency head. An agency representative who is familiar with the case, and has authority to approve settlement terms subject to the approval by the agency head, must be available to participate in the settlement conference in person or by telephone, subject to section11511.7.
(c) The Presiding Judge may excuse the attendance or participation of a party or representative upon a showing of good cause. A request to be excused shall be made not less than 3 business days before the date of the conference.
(d) A Request to continue the settlement conference shall be addressed to the Presiding Judge.
(e) The settlement conference ALJ may structure the conference to meet the needs of the particular dispute. A telephonic settlement conference may be arranged pursuant to section 11511.7(b).
(f) A party may file a written settlement conference statement with OAH that describes the factual and legal issues and the status of any previous settlement discussions in the Case. The statement may be Served on all other parties or it may be marked "confidential" and submitted only to the Presiding Judge or the settlement conference ALJ. The statement should be submitted at least 3 business days before the conference. The Presiding Judge or settlement conference ALJ may require a party to file a settlement conference statement.
(g) A party should bring any pertinent documents and a draft of any settlement proposal on disk or in writing to the settlement conference.
(h) The settlement conference statement, other settlement materials, and settlement discussions shall not be disclosed to the Hearing ALJ and are deemed confidential unless the parties agree otherwise.
(i) Any settlement shall be included in a written stipulation, settlement agreement or consent order, or an oral agreement placed on the record.
(j) The parties shall promptly notify the OAH calendar clerk of any resolution that terminates a Case before OAH. OAH will vacate all Hearing dates upon receipt of a written request and notice of final resolution of the Case from the agency. A copy shall be Served on all other parties. Notice of final resolution of a Case consists of written confirmation from the agency that all parties have signed a final written agreement resolving the Case (subject to approval by the agency head) or that the agency has taken any unilateral actions legally required to withdraw, dismiss, or otherwise resolve the Case. A copy of the signed settlement, stipulation, agency order or any other paperwork terminating a matter before OAH, or, at the discretion of the agency, the first page and signature pages thereof, shall be filed with OAH.


Cal. Code Regs. Tit. 1, § 1028

Note: Authority cited: Section 11370.5(b), Government Code. Reference: Sections 11415.60 and 11511.7, Government Code.

1. New section filed 6-30-97 as an interim regulation pursuant to Government Code section 11400.20; operative 7-1-97 (Register 97, No. 27). Interim regulations expire on 12-31-98 unless earlier repealed or amended.
2. Interim regulation, including amendment of subsections (e), (j) and (r), filed 5-19-98 as a permanent regulation pursuant to Government Code section 11400.20; operative 5-30-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 21).
3. Repealer and new section filed 10-13-2004; operative 12-1-2004 (Register 2004, No. 42).

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