Withdrawal and settlement procedures

A complainant may withdraw a complaint at any time before objections to the Assistant Secretary's findings and/or preliminary order are filed by notifying OSHA orally or in writing. This is stated in 1988.111(a).

• OSHA will then confirm the withdrawal in writing and decide whether to approve it.
• If the withdrawal is because of a settlement, that settlement must be submitted for approval under 1988.111(d).
• A complainant may not withdraw after objections to the Assistant Secretary's findings and/or preliminary order have been filed.

A complainant should notify OSHA either orally or in writing to withdraw a complaint, and OSHA will follow up by confirming the withdrawal in writing. See 1988.111(a).

• Oral notification is allowed, but OSHA will still issue a written confirmation.
• Written notification may be preferable for recordkeeping and clarity.

If a complaint is withdrawn because of settlement, the settlement must be submitted to OSHA for approval in accordance with 1988.111(d).

• OSHA reviews investigative settlements; adjudicatory settlements are submitted to the ALJ or ARB as applicable (see 1988.111(d)(1) and 1988.111(d)(2)).
• Approved settlements become final orders and are enforceable under 1988.113.

Yes, the Assistant Secretary may withdraw findings and/or a preliminary order before the 30-day objection period expires, and substituting new findings or a new preliminary order restarts the 30-day objection period from the date of receipt. See 1988.111(b) and the objection period described in 1988.106.

• The Assistant Secretary may act only if no objection has yet been filed.
• Receipt of substituted findings or order begins a new 30-day period for filing objections.

Yes, a party may withdraw objections to the Assistant Secretary's findings at any time before the findings or order become final by filing a written withdrawal with the ALJ, and the ALJ will decide whether to approve that withdrawal. See 1988.111(c).

• If the case is on review with the ARB, a party may withdraw a petition for review by filing a written withdrawal with the ARB, and the ARB will decide whether to approve it.
• If the ALJ approves the withdrawal and no other objections remain, the Assistant Secretary's findings or order becomes the final order of the Secretary.

If the ALJ approves a request to withdraw objections and there are no other pending objections, the Assistant Secretary's findings and/or order become the final order of the Secretary. See 1988.111(c).

• The same logic applies at the ARB level: if the ARB approves withdrawal of a petition for review and no other petitions are pending, the ALJ's decision becomes final.

Investigative settlements are agreements reached by OSHA, the complainant, and the respondent after a complaint has been filed but before objections are filed or the findings/order become final. See 1988.111(d)(1).

• OSHA's approval of such a settlement demonstrates the consent of all three parties.
• These settlements resolve the case before it moves into full adjudication.

Adjudicatory settlements are agreements reached after objections to the Assistant Secretary's findings and/or order have been filed; they 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. See 1988.111(d)(2).

• A copy of the settlement is filed with the ALJ or ARB as appropriate.
• Approval by the ALJ or ARB finalizes the settlement as the Secretary's order.

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 1988.113. See 1988.111(e).

• Once approved, the settlement has the same force as a final agency order and can be enforced like other final orders.

When the case is before an ALJ or the ARB, a copy of the settlement should be filed with the ALJ or the ARB, as appropriate. See 1988.111(d)(2).

• Filing the settlement enables the ALJ or ARB to review and approve it so it can become the final order of the Secretary.

Yes, OSHA's approval of an investigative settlement demonstrates OSHA's consent and achieves the consent of the complainant and respondent, effectively creating agreement among all three parties. See 1988.111(d)(1).

• OSHA's approval is the final agency action needed to formalize that investigative settlement into a resolution of the case.

No, a complainant may not withdraw a complaint after objections to the Assistant Secretary's findings and/or preliminary order have been filed. See 1988.111(a).

• Once objections are filed, withdrawal by the complainant is no longer permitted; settlement routes after objections are governed by the adjudicatory settlement rules in 1988.111(d)(2).

The date of receipt of the substituted findings or preliminary order triggers a new 30-day objection period. See 1988.111(b) and 1988.106 for the objection period rules.

• This restart occurs only if the Assistant Secretary substitutes findings before any objection has been filed.

If the case is on review with the ARB, a party may withdraw a petition for review of an ALJ's decision at any time before that decision becomes final by filing a written withdrawal with the ARB, and the ARB will decide whether to approve the withdrawal. See 1988.111(c).

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