29 C.F.R. § 101.9

Settlement after issuance of complaint

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(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 (§ 102.18), may conclude that an informal settlement agreement of the type described in § 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 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 § 102.19 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 § 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.

Notes of Decisions

Cited in 20 cases, 1952–2015 · leading case: Nat'l Labor Relations Bd. v. United Food & Com. Workers Union, Local 23, 484 U.S. 112 (1987).

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Nat'l Labor Relations Bd. v. United Food & Com. Workers Union, Local 23, 484 U.S. 112 (1987). · cites it 4× “29 CFR § 101.9 (c)(3) (1987). [14] Once the hearing on the complaint begins, the Board's regulations do not permit the General Counsel to enter into an unreviewable settlement agreement, even if it is "informal.”

Detroit Edison Co. v. Nat'l Labor Relations Bd., 440 U.S. 301 (1979). · cites it 2× “Further, the Board's regulations contemplate a contempt sanction only against a respondent, 29 CFR §§ 101.9 , 101.14-101.15 (1978), and the initiation of contempt proceedings is entirely within the discretion of the Board's General Counsel.”

Gulf States Mfrs., Inc. v. Nat'l Labor Relations Bd., 598 F.2d 896 (5th Cir. 1979). · cites it 4× “There also may be a formalized agency-approved settlement agreement under 29 C.F.R. § 101.9 , in which there is even greater participation by the Board in the adjustment of the labor dispute.”

George Banta Co., Inc., Banta Div. v. Nat'l Labor Relations Bd., 604 F.2d 830 (4th Cir. 1979). · cites it 3× “If the general counsel decides to approve the settlement agreement, he shall so inform the charging party and submit the agreement and accompanying documents to the Board, upon whose approval the settlement is contingent. Within 7 days after «service of notice of submission of…”

George Ryan Co., Inc., Mun. Eng'g & Constr. Corp., & Evansville Contractors Ass'n, Inc. v. Nat'l Labor Relations Bd., 609 F.2d 1249 (7th Cir. 1979). · cites it 3× “” The companies then asked the Board for leave to appeal the ALJ’s approval of the informal settlement agreement pursuant to 29 C.F.R. § 101.9 (d)(2), and all sides filed written submissions before the Board.”

Dunbar Ex Rel. Nat'l Labor Relations Bd. v. Landis Plastics, Inc., 977 F. Supp. 169 (N.D.N.Y. 1997). · cites it 2× “29 C.F.R. § 101.9 (e)(2) (1996). 5 Landis responds that this rule applies only to agency proceedings and not to settlements in federal court.”

Nat'l Labor Relations Bd. v. All Brand Printing Corp., 594 F.2d 926 (2d Cir. 1979). “” See NLRB Statements of Procedure, Series 8, 29 C.F.R. § 101.9 (b)(1). Informal settlement agreements are not subject to Board approval and do not become the subject of a Board order, but they must be approved by a regional director and, in some instances, by an administrative…”

Miles T. Jackman v. Nat'l Labor Relations Bd., 784 F.2d 759 (6th Cir. 1986). “” 29 C.F.R. § 101.9 (b)(1). Formal settlement agreements require approval by the Board as well as the General Counsel.”

Nat'l Book Consolidators, Inc., in 81-1588 v. Nat'l Labor Relations Bd., Nat'l Labor Relations Bd., in 81-2295 v. Adp Transp. Corp., 672 F.2d 323 (3rd Cir. 1982). “29 C.F.R. §101.9 (1981). . In denying the Company’s motion to reconsider its decision and void the order directing the reopening of the Maspeth, New York, terminal because compliance with the Board’s remedial order was unduly burdensome and perhaps impossible, the Board…”

Int'l Ladies' Garment Workers Union, Local 415-475, Afl-Cio v. Nat'l Labor Relations Bd., 501 F.2d 823 (D.C. Cir. 1974). “29 C.F.R. § 101.9 (b)(2) (1973). By providing for the withdrawal of the complaint without formal action by the Board, this section purports to revert the situation to that obtaining prior to the issuance of a complaint.”

Straus Commc'ns, Inc., Petitioner-Cross v. Nat'l Labor Relations Bd., Respondent-Cross, 625 F.2d 458 (2d Cir. 1980). “” See NLRB Statements of Procedure, Series 8, 29 C.F.R. § 101.9 (b)(1). Informal settlement agreements are not subject to Board approval and do not become the subject of a Board order, but they must be approved by a regional director and, in some instances, by an administrative…”

Oshkosh Truck Corp. v. Nat'l Labor Relations Bd., 530 F.2d 744 (7th Cir. 1976). “29 C.F.R. § 101.9 (d) (1975) provides: (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…”

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— 29 C.F.R. § 101.9(c) — 1 case

Nat'l Labor Relations Bd. v. Oil, Chem. & Atomic Workers Int'l Union, 476 F.2d 1031 (1st Cir. 1973).

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