Appendix A to Part 10 - Commission Policy Relating to the Acceptance of Settlements in Administrative and Civil Proceedings
17:1.0.1.1.9.11.7.1.10 : Appendix A
Appendix A to Part 10 - Commission Policy Relating to the
Acceptance of Settlements in Administrative and Civil Proceedings
It is the policy of the Commission not to accept any offer of
settlement submitted by any respondent or defendant in an
administrative or civil proceeding, if the settling respondent or
defendant wishes to continue to deny the allegations of the
complaint or the findings of fact or conclusions of law to be made
in the settlement order entered by the Commission or a court. In
accepting a settlement and entering an order finding violations of
the Act and/or regulations promulgated under the Act, the
Commission makes uncontested findings of fact and conclusions of
law. Similarly, in settling a civil proceeding with a defendant the
Commission invites the federal court to make conclusions of law
and, in some instances, findings of fact. The Commission does not
believe it would be appropriate for it to be making or inviting a
court to make such uncontested findings of violations if the party
against whom the findings and conclusions are to be entered is
continuing to deny the alleged misconduct.
The refusal of a settling respondent or defendant to admit the
allegations in a Commission-instituted complaint or the findings of
fact or conclusions of law in the settlement order entered by the
Commission or a court shall be treated as a denial, unless the
party states that he or she neither admits nor denies the
allegations or the findings and conclusions. In that event, the
proposed offer of settlement, consent or consent order must include
a provision stating that, by neither admitting nor denying the
allegations, findings or conclusions, the settling respondent or
defendant agrees that neither he or she nor any of his or her
agents or employees under his authority or control shall take any
action or make any public statement denying, directly or
indirectly, any allegation in the complaint or findings or
conclusions in the order, or creating, or tending to create, the
impression that the complaint or the order is without a factual
basis; provided, however, that nothing in this provision shall
affect the settling respondent's or defendant's -
i. Testimonial obligation, or
ii. Right to take legal positions in other proceedings to which
the Commission is not a party.
[64 FR 30903, June 9, 1999]