Withdrawal and settlement procedures

Yes — under 1987.111(a) a complainant may withdraw their complaint at any time prior to the filing of objections by notifying OSHA either orally or in writing.

• OSHA will confirm the complainant's desire to withdraw in writing and will decide whether to approve the withdrawal.
• If OSHA approves the withdrawal, OSHA will notify the parties and each party's legal counsel, if represented.
• If the withdrawal is because of a settlement, the settlement must be submitted for approval under paragraph (d) of 1987.111.

No — under 1987.111(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.

• The prohibition is explicit: withdrawal is allowed only prior to the filing of objections.

Yes — under 1987.111(b) the Assistant Secretary may withdraw the findings and/or preliminary order any time before the 30-day objection period described in 1987.106 has expired, provided no objection has yet been filed, and may substitute new findings and/or a new preliminary order.

• When substituted findings or an order are received, the date of receipt starts a new 30-day objection period as described in 1987.106.
• The Assistant Secretary cannot do this if an objection has already been filed.

Yes — under 1987.111(c) a party may withdraw objections to the Assistant Secretary's findings and/or order at any time before those findings and/or order become final by filing a written withdrawal with the Administrative Law Judge (ALJ).

• The ALJ will determine 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.

Yes — under 1987.111(c) a party may withdraw a petition for review of an ALJ’s decision while the case is on review with the Administrative Review Board (ARB) by filing a written withdrawal with the ARB.

• The ARB will decide whether to approve the withdrawal.
• If the ARB approves the withdrawal and there are no other pending petitions for review, the ALJ’s decision will become the final order of the Secretary.

An investigative settlement may be reached any time after a complaint is filed but before findings/order are objected to or become final, and OSHA’s approval makes the settlement effective as consent by all three parties.

• Per 1987.111(d)(1), the case may be settled if OSHA, the complainant, and the respondent all agree.
• OSHA’s approval of a settlement reached by respondent and complainant demonstrates OSHA’s consent and thus constitutes consent of all three parties.

An adjudicatory settlement may be reached after objections are filed, but it must be approved by the ALJ or ARB and filed with the appropriate adjudicative body.

• Per 1987.111(d)(2), after objections to the Assistant Secretary's findings and/or order are filed the parties may settle the case if the ALJ (when the case is before the ALJ) or the ARB (if the ARB accepted the case for review) approves the settlement.
• A copy of the settlement must be filed with the ALJ or ARB, as appropriate.

Yes — under 1987.111(e) any settlement approved by OSHA, the ALJ, or the ARB constitutes the final order of the Secretary and may be enforced in United States district court under 1987.113.

• Once approved, the settlement has the force of a final Secretary’s order and is enforceable in federal district court.

If a complaint is withdrawn because of settlement, the settlement itself must be submitted for approval under paragraph (d) of 1987.111.

• This means the settlement must follow the procedures for either an investigative settlement in 1987.111(d)(1) or an adjudicatory settlement in 1987.111(d)(2), depending on whether objections have been filed.

The new objection period begins on the date the substituted findings or order are received.

• 1987.111(b) states that receipt of substituted findings or a substituted order will start a new 30-day objection period as described in 1987.106.

If the ALJ approves a withdrawal of objections but other objections remain pending, the Assistant Secretary’s findings and/or order do not automatically become final until there are no other pending objections.

• 1987.111(c) makes clear that the Assistant Secretary's findings and/or order become final only when the ALJ approves a withdrawal and there are no other pending objections.

If the ARB approves the withdrawal of a petition for review but other petitions for review are still pending, the ALJ’s decision does not become final until there are no other pending petitions.

• 1987.111(c) specifies that the ALJ’s decision becomes the final order of the Secretary only if the ARB approves the withdrawal and no other petitions for review of that decision remain pending.

Section 1987.111 sets the rules for withdrawing complaints, objections, and petitions and for approving settlements in cases under Part 1987.

• It explains when complainants or parties can withdraw (see 1987.111(a) and 1987.111(c)).
• It describes how the Assistant Secretary can change findings before the objection period ends (1987.111(b)).
• It defines investigative and adjudicatory settlements (1987.111(d)(1) and 1987.111(d)(2)) and confirms settlements approved by OSHA, the ALJ, or the ARB are final and enforceable (1987.111(e)).

OSHA’s approval is sufficient to achieve the necessary consent for an investigative settlement.

• 1987.111(d)(1) explains that when OSHA, the complainant, and the respondent agree to a settlement, OSHA’s approval of a settlement reached by the respondent and complainant demonstrates OSHA’s consent and achieves the consent of all three parties.

Parties must file a copy of the adjudicatory settlement with the appropriate adjudicative body (the ALJ or the ARB).

• 1987.111(d)(2) requires that a copy of the settlement be filed with the ALJ or the ARB, depending on where the case is pending.

OSHA will notify the parties and each party's legal counsel, if the party is represented, when it approves a withdrawal.

• This is stated in 1987.111(a), which explains OSHA's confirmation and notification procedure after a complainant requests withdrawal.