Withdrawal and settlement procedures

Under 1978.111(a), a complainant may withdraw a complaint by notifying the Assistant Secretary either orally or in writing, and the Assistant Secretary will confirm the withdrawal in writing and decide whether to approve it.

• The Assistant Secretary will notify the parties (and each party's counsel, if represented) if the withdrawal is approved. See Withdrawal in 1978.111(a) and the general provision at 1978.111.

No. Under 1978.111(b), a complainant may not withdraw his or her complaint after objections to the Assistant Secretary's findings and/or preliminary order have been filed.

• See the prohibition in 1978.111(b) and the overall withdrawal and settlement rule at 1978.111.

An investigative settlement is a settlement that can be reached any time after a STAA complaint is filed but before objections are filed or the Assistant Secretary's order becomes final, provided the Assistant Secretary, the complainant, and the respondent all agree.

• The Assistant Secretary's approval of such a settlement demonstrates consent and completes the agreement among the three parties. See Investigative settlements in 1978.111(d)(1) and 1978.111.

Adjudicatory settlements are allowed after objections to the Assistant Secretary's findings and/or order have been filed, and the settlement must be approved by the Administrative Law Judge (ALJ) if the case is before the ALJ or by the Administrative Review Board (ARB) if the ARB has accepted the case for review.

• See the adjudicatory settlement rule at 1978.111(d)(2) and the broader settlement provisions at 1978.111.

Under 1978.111(c), a party may withdraw objections by filing a written withdrawal with the ALJ, who will decide whether to approve the withdrawal; if the ALJ approves and no other objections remain, the Assistant Secretary's findings and/or order become the final order of the Secretary.

• See Withdrawal of objections in 1978.111(c) and the main provision at 1978.111.

When a case is on review with the ARB, a party may withdraw a petition for review at any time before the decision becomes final by filing a written withdrawal with the ARB, which will determine whether to approve the withdrawal.

• If the ARB approves the withdrawal and no other petitions are pending, the ALJ's decision becomes the final order of the Secretary. See 1978.111(c) and 1978.111.

Under 1978.111(b), the Assistant Secretary may withdraw findings and substitute new findings or a new preliminary order at any time before the expiration of the 30-day objection period, provided no objection has yet been filed; receipt of the substituted findings starts a new 30-day objection period.

• See 1978.111(b) and the 30-day objection-period rule in 1978.106.

If a complaint is withdrawn because of settlement, the settlement must be submitted for approval under paragraph (d) of 1978.111.

• Investigative settlements require agreement of the Assistant Secretary, complainant, and respondent and the Assistant Secretary's approval 1978.111(d)(1); adjudicatory settlements after objections require ALJ or ARB approval 1978.111(d)(2). See 1978.111(a) for withdrawal notification procedures.

Under 1978.111(a), the Assistant Secretary will notify the parties and each party's legal counsel (if that party is represented) when a withdrawal is approved.

• See the notification requirement in 1978.111(a) and the overall rule at 1978.111.

If the ALJ approves the written withdrawal of objections and no other objections are pending, the Assistant Secretary's findings and/or order become the final order of the Secretary.

• See the final-order effect described in 1978.111(c) and the main section at 1978.111.

If the ARB approves the withdrawal of a petition for review and no other petitions are pending, the ALJ's decision becomes the final order of the Secretary.

• See this rule in 1978.111(d) and the broader section at 1978.111.

Under 1978.106, a party has 30 days from the date of receipt of the Assistant Secretary's findings and/or preliminary order to file objections.

• See the 30-day objection period in 1978.106 and how substitution affects that period in 1978.111(b).

All three parties must agree: an investigative settlement requires agreement of the Assistant Secretary, the complainant, and the respondent; the Assistant Secretary's approval demonstrates the necessary consent of all three.

• See the requirement for agreement in 1978.111(d)(1) and the general settlement rules in 1978.111.

Yes. Under 1978.111(d)(1), the Assistant Secretary's approval of the settlement demonstrates consent and effectively achieves the consent of all three parties, finalizing the settlement at the investigative stage.

• See the effect of the Assistant Secretary's approval in 1978.111(d)(1) and the overall section at 1978.111.

When the Assistant Secretary substitutes new findings or a new preliminary order under 1978.111(b), the date of receipt of the substituted findings or order begins a new 30-day objection period.

• See the substitution and restart-of-period rule in 1978.111(b) and the objection-period length in 1978.106.

Under 1978.111, the form of withdrawal depends on the stage: before objections are filed, a complainant may withdraw orally or in writing to the Assistant Secretary; after objections are filed, withdrawals of objections must be in writing filed with the ALJ (or with the ARB if the case is on review).

• See the pre-objection withdrawal option in 1978.111(a) and the written-withdrawal requirement for adjudicatory stages in 1978.111(c).

If the Assistant Secretary does not approve the withdrawal, the complainant's request is not effective and the complaint remains pending for further processing under the rules; the Assistant Secretary must determine whether to approve a withdrawal.

• See the Assistant Secretary's role in approving withdrawals in 1978.111(a) and the general section at 1978.111.