Withdrawal and settlement procedures

Under 1983.111(a), a complainant may withdraw a complaint at any time prior to the filing of objections by notifying the Assistant Secretary either orally or in writing. The Assistant Secretary will then confirm the complainant's desire to withdraw in writing, decide whether to approve the withdrawal, and notify the parties (and counsel, if any) of the approval. See Requirement in 1983.111(a).

Under 1983.111(a), a complainant may not withdraw his or her complaint after objections to the Assistant Secretary's findings and/or preliminary order have been filed. This prohibition applies once objections have been officially filed. See Requirement in 1983.111(a).

Under 1983.111(a), a complainant may notify the Assistant Secretary of a withdrawal either orally or in writing, so an oral withdrawal is permitted, but the Assistant Secretary will confirm the withdrawal in writing before approving it. See Requirement in 1983.111(a).

Under 1983.111(a) and 1983.111(d), if a complaint is withdrawn because of settlement then the settlement must be submitted for approval in accordance with paragraph (d). Investigative settlements require Assistant Secretary approval, and adjudicatory settlements require ALJ or ARB approval as applicable. See Requirement in 1983.111(a) and Settlement rules in 1983.111(d).

Under 1983.111(b) and 1983.106, the Assistant Secretary may withdraw findings and/or a preliminary order anytime before the 30-day objection period expires, provided no objection has been filed, and may substitute new findings or a new preliminary order; receipt of the substituted findings restarts a new 30-day objection period. See Authority in 1983.111(b) and Objection period in 1983.106.

Under 1983.111(c), a party may withdraw objections to the Assistant Secretary's findings or order by filing a written withdrawal with the Administrative Law Judge (ALJ); the ALJ will decide whether to approve the withdrawal. If the ALJ approves the withdrawal and there are no other pending objections, the Assistant Secretary's findings and/or order will become the final order of the Secretary. See Procedure in 1983.111(c).

Under 1983.111(c), a party may withdraw a petition for review that is on review with the Administrative Review Board (ARB) by filing a written withdrawal with the ARB; the ARB will determine whether to approve the withdrawal. If the ARB approves the withdrawal and there are no other pending petitions for review of that ALJ decision, the ALJ's decision will become the final order of the Secretary. See Procedure in 1983.111(c).

Under 1983.111(d)(1), an investigative settlement is an agreement reached after a complaint is filed but before the findings or order are objected to or otherwise become final; it can be reached if the Assistant Secretary, the complainant, and the respondent all agree and the Assistant Secretary approves. The Assistant Secretary's approval demonstrates consent of all three parties. See Investigative settlements in 1983.111(d)(1).

Under 1983.111(d)(2), an adjudicatory settlement is a settlement reached after objections to the Assistant Secretary's findings or order have been filed; it requires agreement of the participating parties and approval by the ALJ if the case is before the ALJ or by the ARB if the ARB has accepted the case for review, and a copy of the settlement must be filed with the ALJ or the ARB. See Adjudicatory settlements in 1983.111(d)(2).

Under 1983.111(e) and 1983.113, any settlement approved by the Assistant Secretary, the ALJ, or the ARB becomes the final order of the Secretary and may be enforced in a United States district court pursuant to 1983.113. See Effect of approved settlements in 1983.111(e) and Enforcement authority in 1983.113.

Under 1983.111(a), when the Assistant Secretary approves a withdrawal of a complaint, the Assistant Secretary will notify the parties and each party's legal counsel if the party is represented by counsel. See Notification requirement in 1983.111(a).

Under 1983.111(a), if a complainant gives an oral withdrawal the Assistant Secretary will confirm the complainant's desire to withdraw in writing and will then decide whether to approve the withdrawal. See Oral withdrawal provision in 1983.111(a).

Under 1983.111(b), the date of the receipt of substituted findings or a substituted preliminary order begins a new 30-day objection period, so parties get a fresh objection window after substitution. See Substitution and new objection period in 1983.111(b).

Under 1983.111(d), parties can settle both during the investigative stage (after a complaint is filed and before objections or final order) and during the adjudicatory stage (after objections have been filed), but the appropriate official—Assistant Secretary for investigative settlements, or ALJ/ARB for adjudicatory settlements—must approve the settlement. See Investigative and adjudicatory settlement rules in 1983.111(d).

Under 1983.111(d) and 1983.111(e), a settlement does not become the final order of the Secretary—and therefore is not enforceable under 1983.113—unless it is approved by the Assistant Secretary, the ALJ, or the ARB as required for that stage of the case. See Settlement approval in 1983.111(d) and Finality and enforcement in 1983.111(e).

Under 1983.111(c), if a party withdraws objections and the ALJ approves that withdrawal but other objections remain pending, the Assistant Secretary's findings and/or order will not immediately become the final order of the Secretary; finality requires that there be no other pending objections. See Withdrawal of objections in 1983.111(c).

Under 1983.111(d)(2), when an adjudicatory settlement is reached the parties must file a copy of the settlement with the ALJ or the ARB, as appropriate, and obtain the ALJ's or ARB's approval for the settlement to become final. See Adjudicatory filing requirement in 1983.111(d)(2).

Under 1983.111(b) and 1983.106, the Assistant Secretary may only withdraw and substitute new findings or a new preliminary order before the expiration of the 30-day objection period and before any objection has been filed; once the 30-day period expires without substitution or an objection is filed, substitution under that paragraph is not authorized. See Timing in 1983.111(b) and Objection period in 1983.106.

Under 1983.111(a) and 1983.111(d), a complainant may notify the Assistant Secretary that the complaint is withdrawn because of a settlement, but the settlement must be submitted for approval under paragraph (d); the case is not finally ended by the withdrawal alone—the required approval is needed to convert the settlement into a final order. See Withdrawal and settlement submission in 1983.111(a) and 1983.111(d).

Under 1983.111(c) and 1983.111(d)(2), the ALJ and the ARB decide whether to approve withdrawals of objections or petitions for review and must approve adjudicatory settlements; their approval can convert a withdrawal or settlement into the final order of the Secretary as applicable. See ALJ/ARB role in 1983.111(c) and Adjudicatory settlements in 1983.111(d)(2).