[Code of Federal Regulations]
[Title 29, Volume 2]
[Revised as of July 1, 2005]
From the U.S. Government Printing Office via GPO Access
[CITE: 29CFR101.9]

[Page 17-18]
 
                             TITLE 29--LABOR
 
                CHAPTER I--NATIONAL LABOR RELATIONS BOARD
 
PART 101_STATEMENTS OF PROCEDURES--Table of Contents
 
Subpart B_Unfair Labor Practice Cases Under Section 10 (a) to (i) of the 
                   Act and Telegraph Merger Act Cases
 
Sec. 101.9  Settlement after issuance of complaint.

    (a) Even though formal proceedings have begun, the parties again 
have full opportunity at every stage to dispose of the case by amicable 
adjustment and in compliance with the law. Thus, after the complaint has 
been issued and a hearing scheduled or commenced, the attorney in charge 
of the case and the Regional Director afford all parties every 
opportunity for the submission and consideration of facts, argument, 
offers of settlement, or proposals of adjustment, except where time, the 
nature of the proceeding, and the public interest do not permit.
    (b)(1) After the issuance of a complaint, the Agency favors a formal 
settlement agreement, which is subject to the approval of the Board in 
Washington, DC. In such an agreement, the parties agree to waive their 
right to hearing and agree further that the Board may issue an order 
requiring the respondent to take action appropriate to the terms of the 
settlement. Ordinarily the formal settlement agreement also contains the 
respondent's consent to the Board's application for the entry of a 
judgment by the appropriate circuit court of appeals enforcing the 
Board's order.
    (2) In some cases, however, the Regional Director, who has authority 
to withdraw the complaint before the hearing (Sec. 102.18), may 
conclude that an informal settlement agreement of the type described in 
Sec. 101.7 is appropriate. Such agreement is not subject to approval by 
the Board and does not provide for a Board order. It provides for the 
withdrawal of the complaint.
    (c)(1) If after issuance of a complaint but before opening of the 
hearing, the charging party will not join in a settlement tentatively 
agreed upon by the Regional Director, the respondent, and

[[Page 18]]

any other parties whose consent may be required, the Regional Director 
serves a copy of the proposed settlement agreement on the charging party 
with a brief written statement of the reasons for proposing its 
approval. Within 7 days after service of these documents, the charging 
party may file with the Regional Director a written statement of any 
objections to the proposed settlement. Such objections will be 
considered by the Regional Director in determining whether to approve 
the proposed settlement. If the settlement is approved by the Regional 
Director notwithstanding the objections, the charging party is so 
informed and provided a brief written statement of the reasons for the 
approval.
    (2) If the settlement agreement approved by the Regional Director is 
a formal one, providing for the entry of a Board order, the settlement 
agreement together with the charging party's objections and the Regional 
Director's written statements are submitted to Washington, DC, where 
they are reviewed by the General Counsel. If the General Counsel decides 
to approve the settlement agreement, the charging party is so informed 
and the agreement and accompanying documents are submitted to the Board, 
upon whose approval the settlement is contingent. Within 7 days after 
service of notice of submission of the settlement agreement to the 
Board, the charging party may file with the Board in Washington, DC, a 
further statement in support of objections to the settlement agreement.
    (3) If the settlement agreement approved by the Regional Director is 
an informal one, providing for the withdrawal of the complaint, the 
charging party may appeal the Regional Director's action to the General 
Counsel, as provided in Sec. of the Board's Rules and Regulations.
    (d)(1) If the settlement occurs after the opening of the hearing and 
before issuance of the administrative law judge's decision and there is 
an all-party informal settlement, the request for withdrawal of the 
complaint must be submitted to the administrative law judge for 
approval. If the all-party settlement is a formal one, final approval 
must come from the Board. If any party will not join in the settlement 
agreed to by the other parties, the administrative law judge will give 
such party an opportunity to state on the record or in writing its 
reasons for opposing the settlement.
    (2) If the administrative law judge decides to accept or reject the 
proposed settlement, any party aggrieved by such ruling may ask for 
leave to appeal to the Board as provided in Sec. 102.26.
    (e)(1) In the event the respondent fails to comply with the terms of 
a settlement stipulation, upon which a Board order and court judgment 
are based, the Board may petition the court to adjudge the respondent in 
contempt. If the respondent refuses to comply with the terms of a 
settlement stipulation providing solely for the entry of a Board order, 
the Board may petition the court for enforcement of its order pursuant 
to section 10 of the National Labor Relations Act.
    (2) In the event the respondent fails to comply with the terms of an 
informal settlement agreement, the Regional Director may set the 
agreement aside and institute further proceedings.