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OSHA 1989.111

Withdrawal and settlement procedures

Subpart C

18 Questions & Answers

Questions & Answers

Under 1989.111(a), how may a complainant withdraw a complaint and what will OSHA do after receiving the withdrawal?

A complainant may withdraw a complaint by notifying OSHA either orally or in writing, and OSHA will confirm the withdrawal in writing, decide whether to approve it, and notify the parties of its approval. See 1989.111(a).

  • If the complaint is being withdrawn because of a settlement, the settlement must be submitted for approval under 1989.111(d).

Under 1989.111(b), can a complainant withdraw a complaint after objections to the Assistant Secretary's findings or preliminary order have been filed?

No. A complainant may not withdraw the complaint after objections to the Assistant Secretary's findings and/or preliminary order have been filed. See 1989.111(b).

Under 1989.111(c), how can a party withdraw objections to the Assistant Secretary's findings or order once those objections have been filed?

A party can withdraw objections by filing a written withdrawal with the Administrative Law Judge (ALJ) before the Assistant Secretary's findings and/or order become final, and the ALJ will decide whether to approve the withdrawal. See 1989.111(c).

  • If the ALJ approves and there are no other pending objections, the Assistant Secretary's findings and/or order will become the final order of the Secretary.

Under 1989.111(c), how can a party withdraw a petition for review when the case is on review with the ARB?

A party may withdraw a petition for review while the case is on review with the Administrative Review Board (ARB) by filing a written withdrawal with the ARB before the ALJ's decision becomes final, and the ARB will determine whether to approve the withdrawal. See 1989.111(c).

  • If the ARB approves the withdrawal and there are no other pending petitions for that decision, the ALJ's decision will become the final order of the Secretary.

Under 1989.111(d)(1), what is an investigative settlement and when may it be used?

An investigative settlement is an agreement among OSHA, the complainant, and the respondent reached anytime after a complaint is filed but before the findings/order are objected to or become final, and it may be used to resolve the case with OSHA's approval. See 1989.111(d)(1).

  • OSHA's approval of such a settlement demonstrates OSHA's consent and serves as the consent of all three parties.

Under 1989.111(d)(2), what is an adjudicatory settlement and who must approve it after objections have been filed?

An adjudicatory settlement is a settlement reached after objections to the Assistant Secretary's findings or order have been filed, and 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. See 1989.111(d)(2).

  • If the Secretary has accepted the case for discretionary review or directed referral for discretionary review, the settlement must be approved by the Secretary.

Under 1989.111(b), what can the Assistant Secretary do before the 30-day objection period ends?

Before the 30-day objection period expires and if no objection has been filed, the Assistant Secretary may withdraw the findings and/or preliminary order and substitute new findings and/or a new preliminary order. See 1989.111(b).

  • The substituted findings or order start a new 30-day objection period measured from the date they are received.

Under 1989.111(b), when does the 30-day objection period begin or restart?

The 30-day objection period begins on receipt of the Assistant Secretary's findings and/or preliminary order and restarts on the date of receipt if the Assistant Secretary withdraws and substitutes new findings or an order. See 1989.111(b).

Under 1989.111(d), what must parties do if objections or petitions for review are withdrawn because of a settlement?

If objections or a petition for review are withdrawn because of settlement, the settlement must be submitted for approval in accordance with 1989.111(d).

  • Whether the settlement is an investigative settlement or an adjudicatory settlement determines which authority (OSHA, ALJ, ARB, or Secretary) must approve it; see 1989.111(d)(1) and 1989.111(d)(2).

Under 1989.111(a), will OSHA notify parties or their counsel if a withdrawal is approved?

Yes. OSHA will notify the parties, or each party's legal counsel if the party is represented, of the approval of any withdrawal. See 1989.111(a).

Under 1989.111(c), what happens if the ALJ approves a request to withdraw objections and there are no other pending objections?

If the ALJ approves a withdrawal of objections and there are no other pending objections, the Assistant Secretary's findings and/or order become the final order of the Secretary. See 1989.111(c).

Under 1989.111(d)(2), if parties reach a settlement after objections are filed and the case is before the ALJ, who must approve the settlement?

If the case is before the ALJ, the ALJ must approve any settlement reached after objections have been filed. See 1989.111(d)(2).

Under 1989.111(d)(2), if the ARB has accepted the case for review, who must approve a settlement reached after objections were filed?

If the ARB has accepted the case for review, the ARB must approve any settlement reached after objections were filed. See 1989.111(d)(2).

Under 1989.111(d)(2), if the Secretary has accepted the case for discretionary review, who must approve a settlement?

If the Secretary has accepted the case for discretionary review or directed it for discretionary review, the settlement must be approved by the Secretary. See 1989.111(d)(2).

Under 1989.111(d)(1), does OSHA's approval of a settlement between complainant and respondent replace the need for the complainant's withdrawal?

Yes. OSHA's approval of a settlement reached by the respondent and complainant demonstrates OSHA's consent and effectively reflects the consent of all three parties, which satisfies the settlement approval requirement. See 1989.111(d)(1).

  • Nevertheless, withdrawals tied to settlement still must be submitted and approved according to paragraph (d).

Under 1989.111(c), must a withdrawal of objections be in writing and where should it be filed?

Yes. A withdrawal of objections must be filed in writing with the Administrative Law Judge (ALJ) before the Assistant Secretary's findings and/or order become final; the ALJ will then determine whether to approve the withdrawal. See 1989.111(c).

Under 1989.111(d), what happens if the ARB approves a request to withdraw a petition for review and no other petitions are pending?

If the ARB approves withdrawal of a petition for review and there are no other pending petitions for that ALJ decision, the ALJ's decision becomes the final order of the Secretary. See 1989.111(d).

Under 1989.111(a), can a complainant withdraw a complaint orally or must it be written?

A complainant may withdraw a complaint either orally or in writing, and OSHA will follow up by confirming the complainant's desire to withdraw in writing. See 1989.111(a).