Withdrawal and settlement procedures

Under 1982.111(a) a complainant may withdraw a complaint at any time before objections are filed by notifying OSHA either orally or in writing and receiving OSHA's confirmation and approval. Requirement in 1982.111(a).

• OSHA will confirm the complainant's desire to withdraw in writing and will decide whether to approve the withdrawal.
• If the complainant is represented by counsel, OSHA will notify the parties or their counsel of the approval.

Under 1982.111(a) a complainant may not withdraw a complaint after objections to the Assistant Secretary's findings and/or preliminary order have been filed. Requirement in 1982.111(a).

• If objections are already filed, the complainant cannot unilaterally withdraw; any settlement or withdrawal must follow the adjudicatory procedures in 1982.111(d)(2) and 1982.111(c).

Under 1982.111(a) OSHA will confirm the complainant's withdrawal in writing, determine whether to approve it, and notify the parties or their counsel of the approval. Requirement in 1982.111(a).

• If the withdrawal is because of a settlement, the settlement must be submitted for approval in accordance with 1982.111(d).
• OSHA's written confirmation documents the request, but OSHA's approval is required to effectuate the withdrawal.

Under 1982.111(a) and 1982.111(d) any withdrawal that occurs because of a settlement must include submission of the settlement for approval in the manner described in 1982.111(d). Requirement in 1982.111(a) and Settlement rules in 1982.111(d).

• If the settlement is achieved before objections are filed, it is an "investigative settlement" and requires OSHA approval per 1982.111(d)(1).
• If the settlement is reached after objections are filed, it is an "adjudicatory settlement" and must be approved by the ALJ or ARB as applicable per 1982.111(d)(2).

Under 1982.111(b) the Assistant Secretary may withdraw the findings and/or preliminary order at any time before the 30-day objection period expires, provided no objection has yet been filed, and may substitute new findings and/or a new preliminary order. Authority in 1982.111(b).

• When substituted findings or an order are issued, the date of receipt of those substituted documents starts a new 30-day objection period (see 1982.106).

Under 1982.111(b) issuing substituted findings or a substituted preliminary order restarts the 30-day objection period, with the new period beginning on the date the substituted findings or order are received. Timing rule in 1982.111(b) and see 1982.106 for the 30-day objection period framework.

• Practically, parties should watch for substituted findings because they reset the deadline to file objections.

Under 1982.111(c) a party may withdraw its objections to the Assistant Secretary's findings and/or order at any time before the findings and/or order become final by filing a written withdrawal with the Administrative Law Judge (ALJ). Withdrawal of objections in 1982.111(c).

• If the case is on review with the ARB, a party withdraws its petition for review by filing a written withdrawal with the ARB.
• The ALJ (or ARB) will determine whether to approve the withdrawal.

Under 1982.111(c) if the ALJ approves a request to withdraw objections and no other objections remain pending, the Assistant Secretary's findings and/or order become the final order of the Secretary. Effect of ALJ approval in 1982.111(c).

• Once the findings and/or order become final, they are enforceable as a final order of the Secretary unless set aside by further legal action.

Under 1982.111(c) if the ARB approves the withdrawal of a petition for review and there are no other pending petitions for review, the ALJ's decision becomes the final order of the Secretary. Effect of ARB approval in 1982.111(c).

• That final order is enforceable as provided by the regulations and relevant enforcement provisions.

Under 1982.111(d)(1) an investigative settlement is a settlement reached at any time after the filing of a complaint but before the Assistant Secretary's findings and/or order are objected to or become a final order, and it requires agreement among OSHA, the complainant, and the respondent. Investigative settlements in 1982.111(d)(1).

• OSHA's approval demonstrates OSHA's consent and completes the three-party agreement necessary for the settlement to take effect.

Under 1982.111(d)(2) an adjudicatory settlement is any settlement reached after objections to the Assistant Secretary's findings and/or order are filed; it must be approved by the ALJ if the case is before the ALJ, or by the ARB if the ARB has accepted the case for review. Adjudicatory settlements in 1982.111(d)(2).

• A copy of the settlement must be filed with the ALJ or ARB as applicable.

Under 1982.111(d) investigative settlements require OSHA's approval (OSHA plus complainant and respondent), while adjudicatory settlements require approval by the ALJ or the ARB depending on where the case is pending. Investigative settlements 1982.111(d)(1) and Adjudicatory settlements 1982.111(d)(2).

• Investigative settlements: OSHA's approval completes the three-party consent.
• Adjudicatory settlements: judicial officers (ALJ or ARB) must approve and the settlement is filed with the adjudicative body.

Under 1982.111(d)(2) a copy of an adjudicatory settlement must be filed with the Administrative Law Judge (ALJ) or the Administrative Review Board (ARB), whichever is handling the case. Filing requirement in 1982.111(d)(2).

• Filing the settlement with the adjudicative body allows the ALJ or ARB to review and decide whether to approve it.

Under 1982.111(e) any settlement approved by OSHA, the ALJ, or the ARB becomes the final order of the Secretary and may be enforced in United States district court pursuant to 1982.113. Final order rule in 1982.111(e) and Enforcement provision in 1982.113.

• In short, approved settlements carry the force of a final Secretary's order and are judicially enforceable like other final orders under 1982.113.

Under 1982.111(d)(1) an investigative settlement requires agreement from OSHA, the complainant, and the respondent, and OSHA's approval demonstrates the required consent of all three parties. Investigative settlements in 1982.111(d)(1).

• OSHA's approval is the final element that completes the three-party agreement for an investigative settlement.

Under 1982.111(c) a party may withdraw its petition for review at any time before the ALJ's decision becomes final by filing a written withdrawal with the ARB; the ARB will determine whether to approve the withdrawal. Withdrawal with ARB in 1982.111(c).

• If the ARB approves the withdrawal and there are no other pending petitions, the ALJ's decision becomes final.

Under 1982.111(b) the Assistant Secretary may substitute findings or a preliminary order only before the 30-day objection period expires and provided no objection has been filed; the substituted document restarts the 30-day objection period under 1982.106. Substitution and timing in 1982.111(b).

• The practical limits are (1) no pending objection can exist when substituting, and (2) substitution triggers a new 30‑day objection window measured from the date of receipt.

Under 1982.111(c) the Administrative Law Judge (ALJ) decides whether to approve withdrawals of objections when the case is before the ALJ, and the Administrative Review Board (ARB) decides withdrawals of petitions when the case is on review with the ARB. Decision authority in 1982.111(c).

• Their approval (or denial) controls whether the Assistant Secretary's findings or the ALJ decision becomes the final order of the Secretary if no other objections/petitions remain.