Ohio Admin. Code 4901:1-23-04 - [Effective 7/15/2024] Settlement agreements and stipulations
(A) If staff and the electric utility or
competitive retail electric service (CRES) provider reach agreement regarding
the violation of a rule within this chapter or Chapter 4901:1-21 or 4901:1-10
of the Administrative Code, the violation of a commission order, a proposed
corrective action or remedy, or the amount of a forfeiture or other payment,
then the agreement must be reduced to writing in a settlement agreement. Such
agreement shall be signed by an officer of the company or its attorney and the
assistant attorney general who serves as legal counsel for staff. Except as
otherwise provided in paragraph (B) of this rule, the settlement agreement
shall
will not
be effective until both of the following have occurred:
(1) The stipulation is filed with the
commission for approval pursuant to a compliance or other proceeding.
(2) The stipulation is
determined to be reasonable by, approved by, and made the order of the commission.
(B) If the settlement agreement
provides for the payment of a forfeiture or other payment by an electric
utility or CRES provider of ten thousand dollars or less, the agreement shall
be deemed accepted by the commission and fully enforceable upon the electric
utility or CRES provider upon its execution.
(C) Unless contained in or otherwise provided
in a stipulation, no statement or conduct during settlement negotiations is
admissible in any commission proceeding regarding the noncompliance.
(D) Where an electric utility or competitive
retail electric service provider has demonstrated to the staff's satisfaction,
as confirmed in writing by the staff, that the violation(s) listed in the staff
notice (or amended staff notice) of probable noncompliance or investigative
report has been corrected and where the company submits full payment of the
proposed forfeiture prior to the execution of a written settlement agreement or
final commission order, the violation(s) listed in such staff notice of
probable noncompliance or investigative report shall only be considered by the
commission as part of the company's history of violations in determining the
appropriate forfeiture or corrective action for any future violation. If a
company pays a proposed forfeiture of more than one thousand dollars without
executing a written settlement agreement, the payment shall be fully effective
when approved by and made the order of the commission.
Notes
Promulgated Under: 111.15
Statutory Authority: 4928.10, 4905.06
Rule Amplifies: 4928.16
Prior Effective Dates: 09/18/2000, 06/29/2009, 12/11/2014
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