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OSHA 1991.105

Findings and preliminary orders

18 Questions & Answers

Questions & Answers

Under 1991.105(a), how long does the Assistant Secretary have to issue written findings after a CAARA complaint is filed?

The Assistant Secretary must issue written findings within 60 days after the complaint is filed. The regulation requires the Assistant Secretary to consider all relevant information collected during the investigation and then issue written findings within 60 days of the filing of the complaint as stated in 1991.105(a).

Under 1991.105(a)(1), what relief can a preliminary order provide if the Assistant Secretary finds reasonable cause to believe retaliation occurred?

A preliminary order can provide all relief necessary to make the complainant whole, including reinstatement with the same seniority status, back pay with interest, and compensation for special damages such as litigation costs, expert witness fees, and reasonable attorney fees. This is specified in 1991.105(a)(1).

Under 1991.105(a), what does the Assistant Secretary do if they conclude no violation occurred?

If the Assistant Secretary concludes that no violation has occurred, OSHA will notify the parties of that finding. The regulation states that the Assistant Secretary will inform the parties when a conclusion of no violation is reached as set forth in 1991.105(a)(2).

Under 1991.105(b), how will OSHA send findings and preliminary orders to parties and what must those communications include?

OSHA will send the findings and any preliminary order by physical or electronic means that allow OSHA to confirm delivery to all parties of record (or each party's counsel if represented), and the communication must inform the parties of their rights to object and request a hearing and provide the address of the Chief Administrative Law Judge or electronic filing information. These requirements are described in 1991.105(b).

Under 1991.105(c), when do findings and preliminary orders become effective if no timely objection or hearing request is filed?

Findings and any preliminary order become effective 30 days after receipt by the respondent (or the respondent's counsel), or on the compliance date set in the order, whichever is later, unless an objection and/or request for hearing is timely filed under 1991.106. The effective-date rule is set out in 1991.105(c).

Under 1991.105(c), when does the reinstatement portion of a preliminary order take effect if the respondent receives the findings and files an objection?

The portion of any preliminary order requiring reinstatement is effective immediately upon the respondent's receipt of the findings and preliminary order, regardless of any objections. This immediate-effect rule for reinstatement is stated in 1991.105(c).

Under 1991.105(a)(1), can a preliminary order require the respondent to submit documentation to the Social Security Administration about back pay allocation?

Yes, where appropriate the preliminary order can require the respondent to submit documentation to the Social Security Administration allocating any back pay award to the appropriate periods. This authority is included in the relief provisions described in 1991.105(a)(1).

Under 1991.105(b), what opportunity does a respondent have to recover attorney fees if they claim the complaint was frivolous or brought in bad faith?

A respondent may request an award of attorney fees not exceeding $1,000 from the Administrative Law Judge if the respondent alleges the complaint was frivolous or brought in bad faith, and the findings will inform the parties of this right. This fee request provision is specified in 1991.105(b).

Under 1991.105, what filing does the Assistant Secretary make with the Chief Administrative Law Judge after issuing findings and/or a preliminary order?

The Assistant Secretary will file with the Chief Administrative Law Judge a copy of the original complaint and a copy of the findings and/or order at the same time the findings and order are issued. This filing requirement is set out in 1991.105.

Under 1991.105, can the findings specify electronic means for serving OSHA and the Associate Solicitor with documents during administrative litigation?

Yes, the findings may specify the means, including electronic means, for serving OSHA and the Associate Solicitor for Fair Labor Standards with documents in the administrative litigation as required under this part. That flexibility is noted in 1991.105.

Under 1991.105(a), what information does the Assistant Secretary consider before issuing findings?

The Assistant Secretary considers all relevant information collected during the investigation before issuing findings. The regulation explicitly requires consideration of the investigation's relevant information prior to issuing findings as described in 1991.105(a).

Under 1991.105(b), if a party is represented by counsel how will OSHA confirm delivery of the findings and preliminary order?

OSHA will send the findings and any preliminary order to each party's legal counsel (if represented) by physical or electronic means that allow OSHA to confirm delivery. The requirement to confirm delivery to parties of record or their counsel is in 1991.105(b).

Under 1991.105(a)(1), how is interest on back pay calculated when a preliminary order awards back pay?

Interest on back pay will be calculated using the interest rate applicable to underpayment of taxes under 26 U.S.C. 6621(a)(2) and will be compounded daily. The regulation sets this calculation method for back pay interest in 1991.105(a)(1).

Under 1991.105(b), what information about filing objections will the findings and preliminary order provide to the parties?

The findings and any preliminary order will inform the parties of the right to object to the findings and/or order and to request a hearing, and will provide the address of the Chief Administrative Law Judge or appropriate information about electronic filing with the Office of Administrative Law Judges. This information requirement is in 1991.105(b).

Under 1991.105(c), what happens if a respondent timely files an objection or requests a hearing under 1991.106?

If a respondent timely files an objection or requests a hearing as provided in 1991.106, the findings and any preliminary order will not take effect 30 days after receipt; instead, effectiveness is stayed pending the objection or hearing process except that reinstatement relief remains effective immediately. The timing rules and reinstatement exception are described in 1991.105(c).

Under 1991.105(a)(1), does a preliminary order ever include payment for litigation-related expenses?

Yes, a preliminary order may include compensation for special damages sustained as a result of the retaliation, including litigation costs, expert witness fees, and reasonable attorney fees. This relief is explicitly authorized in 1991.105(a)(1).

Under 1991.105, who decides whether there is reasonable cause to believe retaliation occurred and issues the findings?

The Assistant Secretary is the official who considers the investigation results and issues written findings about whether there is reasonable cause to believe the respondent retaliated in violation of CAARA. The role and obligation of the Assistant Secretary are set forth in 1991.105(a).

Under 1991.105(b), may a respondent request attorney fees even if they do not file objections to the findings?

Yes, the respondent may request an award of attorney fees not exceeding $1,000 from the Administrative Law Judge regardless of whether the respondent has filed objections, if the respondent alleges the complaint was frivolous or brought in bad faith. This right is described in 1991.105(b).