N.M. Admin. Code § 1.2.2.20 - FORMAL STIPULATIONS
The commission recognizes that the parties to a proceeding and staff may reach compromises and settle some or all issues. Settlement stipulations shall be binding only if approved by the commission.
A.
Uncontested stipulations:
(1) If the staff and all parties enter into a
stipulation settling some or all of the issues in a proceeding, the stipulation
shall be filed and a copy presented to the presiding officer. If the proceeding
is before the commission en banc, the commission may in its
discretion assign a hearing examiner to preside over any public hearing to be
conducted on the stipulation.
(2)
When filed and presented, the stipulation must be accompanied in rate cases by
a reconciliation statement showing the dollar impact of the settlement and the
resulting rates. This statement shall contain the information listed in
Subsection F of
1.2.2.36 NMAC.
(3) Upon receipt of a stipulation which would
settle substantive issues, the commission or presiding officer shall conduct a
public hearing to determine whether the stipulation should be approved by the
commission, provided that in extraordinary cases, for good cause shown, the
commission or presiding officer may forego a public hearing. The proponents of
the stipulation have the burden of supporting the stipulation with sufficient
evidence and legal argument to allow the commission to approve it.
(4) In the event the parties and staff enter
into a settlement of one or more issues but not of the entire case, the
commission or presiding officer may in their discretion combine the public
hearing on the settlement stipulation with the public hearing on the contested
issues.
(5) In cases heard by a
hearing examiner rather than the commission, the hearing examiner may:
(a) decide that the settlement stipulation
should not be certified to the commission at all, in which event the hearing
examiner may indicate to the parties and staff whether additional evidence or
legal argument in support of the stipulation or amendments to the stipulation
might meet the hearing examiner's reservations about the stipulation;
or
(b) certify the settlement
stipulation to the commission for its review; the certification shall include a
recommended disposition of the stipulation, whether the recommendation be
positive or negative or otherwise suggest a manner of disposition; exceptions
to the certification may be filed within ten (10) days after the date the
settlement stipulation is certified to the commission, unless the commission or
presiding officer directs otherwise.
B.
Contested stipulations:
(1) If some, but not all, of the parties to a
proceeding, including staff, enter into a stipulation seeking to dispose of
some or all of the issues in the proceeding, the stipulation shall be filed and
copies presented to the presiding officer and served on the parties or staff
opposing the stipulation. If the proceeding is before the commission en
banc, the commission may in its discretion assign a hearing examiner
to preside over any public hearing to be conducted on the stipulation. When
filed and presented, the stipulation must be accompanied in rate cases by a
reconciliation statement showing the dollar impact of the settlement and the
resulting rates. This statement shall contain the information listed in
Subsection F of
1.2.2.36 NMAC.
(2) Parties or staff opposing the stipulation
shall file statements briefly setting forth the grounds upon which they oppose
the stipulation in writing within five (5) days after the stipulation is
served, or orally at the public hearing, whichever occurs first. Responses by
staff or parties supporting the stipulation shall be made as directed by the
commission or presiding officer.
(3) The commission or presiding officer shall
schedule the stipulation for public hearing and review unless it is determined
that the nature and extent of the opposition is such that hearing the
stipulation will not materially conserve commission, staff, and party
resources. In the event this determination is made, the commission or presiding
officer may refuse to entertain the stipulation. The commission or presiding
officer also has the discretion to combine a public hearing on a contested
stipulation with the public hearing on the merits of any substantive issues not
addressed by the stipulation.
(4) A
public hearing shall be conducted to determine whether the stipulation shall be
approved by the commission. The proponents of the stipulation have the burden
of supporting the stipulation with sufficient evidence and legal argument to
allow the commission to approve it. At the public hearing all parties and staff
shall be allowed an opportunity to present evidence and cross-examine opposing
witnesses on the stipulation.
(5)
In cases heard by a hearing examiner rather than the commission the hearing
examiner may:
(a) decide that the settlement
stipulation should not be certified to the commission at all, in which event
the hearing examiner may indicate to the parties and staff whether additional
evidence or legal argument in support of the stipulation or amendments to the
stipulation might meet the hearing examiner's reservations about the
stipulation; or
(b) certify the
settlement stipulation to the commission for its review; the certification
shall include a recommended disposition of the stipulation, whether the
recommendation be positive or negative or otherwise suggest a manner of
disposition; exceptions to the certification may be filed within ten (10) days
after the date the settlement stipulation is certified to the commission,
unless the commission or presiding officer directs otherwise.
C.
Inadmissibility of settlement offers and rejected settlements:
Statements, admissions, or offers of settlement made during the course of
negotiations of settlements are privileged. No such statements, admissions, or
offers of settlement shall be admissible as evidence in any formal public
hearing, nor disclosed by any mediator designated pursuant to this rule either
voluntarily or through compulsory process, unless agreed to by all the parties
and staff. If a stipulation is not approved by the commission, the terms of the
proposed settlement are also inadmissible unless their admission is agreed to
by all the parties and staff. Nothing in this subsection shall preclude
proponents of a contested settlement stipulation from offering that stipulation
into the record for purposes of its consideration by the commission or
presiding officer.
D.
Precedential effect: Unless the commission explicitly provides
otherwise in the order approving the stipulation, approval of a stipulation
does not constitute commission approval of or precedent regarding any principle
or issue in the proceeding.
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