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OSHA 1991.111

Complaint withdrawal and settlement

16 Questions & Answers

Questions & Answers

Under 1991.111(a), how can a complainant withdraw a complaint and what does OSHA do after being notified?

Under 1991.111(a), a complainant may withdraw a complaint at any time before objections are filed by notifying OSHA either orally or in writing. OSHA will then confirm the complainant’s desire to withdraw in writing, decide whether to approve the withdrawal, and notify the parties (or their counsel) of its approval. See Withdrawal rules in 1991.111(a).

Under 1991.111(a), can a complainant withdraw a complaint after objections to the Assistant Secretary’s findings or preliminary order are filed?

Under 1991.111(a), a complainant may not withdraw the complaint after objections to the Assistant Secretary’s findings and/or preliminary order have been filed. See Prohibition on withdrawal after objections in 1991.111(a).

Under 1991.111(b), can the Assistant Secretary withdraw findings and/or a preliminary order and replace them before the 30-day objection period ends?

Under 1991.111(b), the Assistant Secretary may withdraw the findings and/or preliminary order at any time before the expiration of the 30-day objection period, as long as no objection has been filed, and may substitute new findings and/or a new preliminary order. See Authority to substitute findings in 1991.111(b).

Under 1991.111(c), how does a party withdraw objections to the Assistant Secretary’s findings or order before the findings become final?

Under 1991.111(c), a party may withdraw objections by filing a written withdrawal with the Administrative Law Judge (ALJ) if the matter is before the ALJ, or by filing a written withdrawal with the Administrative Review Board (ARB) if the case is on ARB review. The ALJ or the ARB will decide whether to approve the withdrawal. See Withdrawal of objections in 1991.111(c).

Under 1991.111(c), what happens if the ALJ or ARB approves a party’s withdrawal of objections or a petition for review and there are no other pending objections or petitions?

Under 1991.111(c), 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; likewise, if the ARB approves a withdrawal of a petition for review and there are no other pending petitions, the ALJ’s decision becomes the final order of the Secretary. See Effect of approved withdrawals in 1991.111(c).

Under 1991.111(d), when may a case be settled as an investigative settlement and who must agree?

Under 1991.111(d), an investigative settlement may be reached at any time after the filing of a complaint but before the findings and/or order are objected to or become final, provided OSHA, the complainant, and the respondent all agree to the settlement. See Investigative settlement timing and parties in 1991.111(d).

Under 1991.111(d)(2), what are adjudicatory settlements and how are they approved?

Under 1991.111(d)(2), adjudicatory settlements are settlements reached after objections to the Assistant Secretary’s findings and/or order have been filed; such settlements 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. A copy of the settlement must be filed with the ALJ or the ARB, as appropriate. See Adjudicatory settlements and approval in 1991.111(d)(2).

Under 1991.111(d)(2), what approval is required if the Secretary has accepted the case for discretionary review?

Under 1991.111(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. See Secretary approval for discretionary review in 1991.111(d)(2).

Under 1991.111(a), who does OSHA notify when a withdrawal is approved?

Under 1991.111(a), OSHA notifies the parties involved—or each party’s legal counsel if they are represented—when it approves a withdrawal. See Notification requirement in 1991.111(a).

Under 1991.111(d)(2), where should a copy of an adjudicatory settlement be filed?

Under 1991.111(d)(2), a copy of an adjudicatory settlement must be filed with the Administrative Law Judge or the Administrative Review Board, as appropriate for the stage of the case. See Filing requirement in 1991.111(d)(2).

Under 1991.111, does OSHA’s approval of a settlement represent the consent of all required parties?

Under 1991.111(d), OSHA’s approval of a settlement reached by the respondent and the complainant demonstrates OSHA’s consent and achieves the consent of all three parties (OSHA, complainant, respondent). See OSHA’s role in settlement consent in 1991.111(d).

Under 1991.111 and 1991.106, what is the 30-day objection period and where is it described?

Under 1991.111, the 30-day objection period is the time frame during which parties may file objections to the Assistant Secretary’s findings and/or preliminary order; the details of that 30-day objection period are described in 1991.106. See Reference to the 30-day objection period in 1991.111(b).