Withdrawal and settlement procedures

A complainant may withdraw his or her complaint at any time prior to the filing of objections by filing a written withdrawal with the Assistant Secretary. See 1981.111(a).

• The withdrawal must be in writing and submitted to the Assistant Secretary.
• The Assistant Secretary will decide whether to approve the withdrawal and will notify the named person if approval is granted.

If a complaint is withdrawn because of settlement, the settlement must be approved under the settlement procedures in paragraph (d) of 1981.111. See 1981.111(a) and 1981.111(d).

• The Assistant Secretary's approval of the withdrawal does not bypass the settlement approval steps required in 1981.111(d).

The Assistant Secretary may withdraw findings or a preliminary order at any time before the 60-day objection period described in 1981.106 expires, provided no objection has yet been filed; the Assistant Secretary may then substitute new findings or a new preliminary order, and the date of receipt of the substituted findings or order starts a new 60-day objection period. See 1981.111(b).

• This means a new 60-day clock begins when the substituted findings or order are received.

A party may withdraw objections to findings or an order at any time before the findings or order become final by filing a written withdrawal with the administrative law judge or, if the case is on review, with the Board; the judge or the Board will decide whether to approve the withdrawal. See 1981.111(c).

• If the objections are withdrawn because of a settlement, the settlement must be approved under paragraph (d) of 1981.111.

An investigative settlement is a settlement reached after the filing of a complaint but before the findings and/or order are objected to or become a final order; it may occur if the Assistant Secretary, the complainant, and the named person agree to the settlement. See 1981.111(d)(1).

• This type of settlement happens during the investigation stage, before formal objections are filed.

An adjudicatory settlement is a settlement reached after objections to the Assistant Secretary's findings and/or order have been filed; it must be approved by the administrative law judge if the case is before the judge, or by the Board if the case is on review, and a copy of the settlement must be filed with the judge or Board. See 1981.111(d)(2).

• Adjudicatory settlements require formal approval by the adjudicator handling the case.

Yes; any settlement approved by the Assistant Secretary, the administrative law judge, or the Board becomes the final order of the Secretary and may be enforced pursuant to 1981.113. See 1981.111(e) and 1981.113.

• Once approved, the settlement has the same effect as a final order and can be enforced under the procedures in 1981.113.

An investigative settlement requires agreement by the Assistant Secretary, the complainant, and the named person. See 1981.111(d)(1).

• All three participants must consent to the settlement for it to proceed.

When an adjudicatory settlement is reached, a copy of the settlement must be filed with the administrative law judge or the Board, depending on where the case is pending. See 1981.111(d)(2).

• Filing the settlement with the adjudicator is a required procedural step for approval.

The new 60-day objection period begins on the date the substituted findings or order are received. See 1981.111(b) and 1981.106 for the objection period rules.

• Receipt of the substituted document resets the 60-day clock for filing objections.

If the case is on review, a written withdrawal of objections should be filed with the Board, and the Board will determine whether to approve the withdrawal. See 1981.111(c).

• Filing with the Board applies specifically to cases that are already on review.

No; the Assistant Secretary may withdraw findings or a preliminary order under 1981.111(b) only before the expiration of the 60-day objection period and provided no objection has yet been filed. See 1981.111(b).

• Once an objection is filed, the Assistant Secretary cannot use this subsection to withdraw and substitute findings.

Withdrawals must be in writing: complaints are withdrawn by filing a written withdrawal with the Assistant Secretary, and objections are withdrawn by filing a written withdrawal with the administrative law judge or the Board if the case is on review. See 1981.111(a) and 1981.111(c).

• Verbal or informal requests are not sufficient; a written submission is required.

The Assistant Secretary will notify the named person when the Assistant Secretary approves a complaint withdrawal. See 1981.111(a).

• Notification to the named person is an explicit duty of the Assistant Secretary after approval.

Yes; if objections to the Assistant Secretary's findings and/or order have been filed, the parties may still settle the case, but the settlement must be approved by the administrative law judge if the case is before the judge, or by the Board if the case is on review. See 1981.111(d)(2).

• The settlement must be agreed to by the participating parties and formally approved by the adjudicator.

Approval of a settlement by the Assistant Secretary, the administrative law judge, or the Board constitutes the final order of the Secretary and is enforceable under 1981.113. See 1981.111(e) and 1981.113.

• Once approved, the settlement carries the same status and enforceability as any final Secretary's order.

Yes; investigative settlements (before objections or final order) require agreement of the Assistant Secretary, the complainant, and the named person as described in 1981.111(d)(1), while adjudicatory settlements (after objections are filed) require approval by the administrative law judge or the Board as described in 1981.111(d)(2).

• Different procedural approvals apply depending on the stage of the case.

The administrative law judge will determine whether to approve the withdrawal of objections when the case is before the judge. See 1981.111(c).

• The judge has discretion to approve or deny the requested withdrawal.