Current through Register 2024 Notice Reg. No. 12, March 22, 2024
(a) Matters
settled: Settlement agreements of all types settle only the allegations
contained in the cases, designated by number, which appear in the captions of
the agreements and do not constitute settlement of any other cases or
allegations, regardless of whether such matters are known to, or readily
discoverable by, the General Counsel at the time the agreement is
reached.
(b) Difference between
formal settlement agreements and informal settlement agreements:
(1) A formal settlement
agreement is a written agreement that must be approved by the Regional Director
and the Board or the assigned Administrative Law Judge.
(2) An informal settlement
agreement is a written agreement that must be approved by the Regional
Director, but does not require approval by the Board or assigned Administration
Law Judge.
(c)
Difference between bilateral and unilateral agreements:
(1) A unilateral settlement
agreement is one signed by the Regional Director and the charged
party(ies.)
(2) A
bilateral settlement agreement is one signed by the Regional
Director and both the charging party(ies) and respondent(s) in the
case.
(d) Circumstances
in which informal and formal settlement agreements are appropriate:
(1) An informal settlement agreement may be
used only to adjust a charge or a complaint. It may not be used to adjust a
specification, notice of hearing without specification, or previous Board
order. It may not be used after the taking of testimony.
(2) A formal settlement agreement may be used
to adjust a charge, complaint, specification, notice of hearing without
specification, or previous Board order. Any agreement reached after the taking
of testimony must be a formal agreement.
(e) Review of informal settlement agreements:
(1) There shall be no review of informal
bilateral settlement agreements.
(2) Within 5 days after the Regional Director
and the charged party(ies) sign an informal unilateral settlement agreement,
the Regional Director shall serve on the charging party(ies) a copy of the
agreement and a brief statement of reasons for his/her approval.
(3) Within 10 days after service of the
informal unilateral settlement agreement and statement of reasons, the charging
party(ies) may file an appeal of the agreement with the General Counsel. A
statement of objections to the agreement shall accompany an appeal. A charged
party(ies) may file a response within 5 days of service of the
appeal.
(f) Review of
formal settlement agreements:
(1) Review of
formal settlement agreements entered into prior to the taking of testimony or
after the issuance of an Administrative Law Judge's decision:
(A) Formal settlement agreements executed
before the taking of testimony or after the issuance of an Administrative Law
Judge's decision, no matter whether unilateral or bilateral, shall be submitted
directly to the Board together with a full statement submitted on behalf of the
General Counsel in support of the agreement. If the agreement is unilateral, at
the same time as the settlement and the reasons in support thereof are
submitted to the Board, they shall also be served upon the charging party(ies).
Within 5 days of service of the settlement and statement of reasons, the
charging party(ies) may file with the Board a statement of objections to the
settlement.
(2) Review
of formal settlement agreements entered into after taking of testimony but
prior to the issuance of an Administrative Law Judge's decision:
(A) A bilateral formal settlement agreement
entered into after the taking of testimony and prior to the issuance of the
administrative law judge's decision shall be submitted, together with a full
statement in support of the settlement made on behalf of the General Counsel,
to the assigned administrative law judge who shall thereupon determine whether
the settlement serves the purpose of the Act.
(1) If the assigned administrative law judge
recommends approval of the settlement, he/she shall issue an appropriate order,
which shall be served upon the parties and shall thereupon become the order of
the Board.
(2) If the assigned
administrative law judge recommends rejection of the settlement, within 5 days
of the rejection, any party may file with the Board a request for review of the
administrative law judge's decision.
(B) A unilateral formal settlement agreement
entered into after the taking of testimony and prior to the issuance of the
administrative law judge's decision shall be submitted, together with a full
statement in support of the settlement made on behalf of the General Counsel,
to the assigned administrative law judge and served upon the charging
party(ies.) If the hearing is in session, the charging party(ies) may make any
objection to the settlement upon the record. If the hearing is not in session
at the time of submission of the proposed unilateral formal settlement
agreement, charging party(ies) shall serve any objections to the settlement
upon the administrative law judge, the Regional Director, and the Respondent(s)
within 5 days after service of the agreement on the charging party(ies.)
(1) The administrative law judge shall issue
an appropriate order recommending approval or rejection of the proposed
unilateral formal settlement agreement, which order shall be served upon the
parties.
(2) If the administrative
law judge recommends approval of the unilateral formal agreement, charging
party(ies) shall have five days from service of the order approving the
settlements to file a request for review with the Board. If no request for
review is filed, the order issued by the administrative law judge shall
thereupon become the order of the Board.
(3) If the administrative law judge
recommends rejection of the unilateral formal settlement agreement, within five
days after service of the order rejecting the proposed settlement, any party
may file a request for review of the order rejecting the proposed
settlement.
1. New section
filed 3-14-78; effective thirtieth day thereafter (Register 78, No.
11).
2. Amendment filed 8-28-81; effective thirtieth day thereafter
(Register 81, No. 35).
3. Editorial correction of subsection (c)
(Register 81, No. 46).
4. Editorial correction of NOTE filed 2-16-83
(Register 83, No. 8).
5. Amendment of subsections (a), (b)(1),
(c)(1) and (d)(1) filed 9-20-91; operative 10-21-91 (Register 92, No.
4).
6. Amendment of subsections (d)(2) and (d)(3) filed 7-8-99;
operative 8-7-99 (Register 99, No. 28).
7. Amendment of section
heading and repealer and new section filed 5-9-2002; operative 6-8-2002
(Register 2002, No. 19).
Note: Authority cited: Section
1144, Labor
Code. Reference: Sections
1160.2 and
1160.3, Labor
Code.