January 2011 - National Labor Relations Board

10164 NATURE OF FORMAL SETTLEMENT STIPULATIONS10164–10170 FORMAL SETTLEMENT STIPULATIONS10164 Nature of Formal Settlement Stipulations10164.1 GenerallyA formal settlement is a written stipulation providing that, on approval by theBoard, a Board order in conformity with its terms will issue. Ordinarily, it will alsoprovide for the consent entry of a court judgment enforcing the order. Sec. 101.9(b)(1),Statements of Procedure.10164.2 PartiesNormally, respondent, the charging party and the General Counsel are parties tothe formal settlement stipulation. However, the Regional Office can accept anappropriate unilateral formal settlement, subject to approval by the General Counsel andthe Board. The Regional Office should also include in the formal settlement stipulationall parties necessary to such agreement. Secs. 10134.3 and 10264.3–.4.10164.3 OverviewA formal settlement stipulation requires issuance of a complaint. If a complainthas not issued, one must issue in conjunction with the settlement. A formal settlementmay be appropriate in certain circumstances, such as where there is: A history of prior unfair labor practicesA likelihood of recurrence or extension of the instant unfair labor practicesContinuing violence or a likelihood of recurring violence orA backpay installment schedule covering an extended period of timeThe settlement should include a waiver of notice of hearing as well as a waiver ofthe hearing itself.When it appears that respondent’s purpose in refusing to execute a formalsettlement stipulation is its belief that a Board Order can be avoided by complying withthe Administrative Law Judge’s decision that will issue after hearing, respondent shouldbe apprised that, under the Act, Sec. 102.48, Rules and Regulations and Sec. 101.11,Statements of Procedure, a Board Order will issue even though respondent does not fileexceptions to the ALJ’s decision and agrees to comply with the ALJ’s recommendedOrder.In the absence of unusual circumstances, a respondent who executes a formalsettlement should not be permitted to withdraw from the stipulation after approval by theRegional Director or the General Counsel, as appropriate. George Banta Co., 236 NLRBRevised 12/09