Settlement procedures

Under 2200.100(a), the Commission permits and encourages settlement at any stage of the proceedings.

• This means parties may negotiate and resolve disputes before, during, or after hearings, and the Commission supports resolving contested issues by agreement where appropriate. See 2200.100(a).

The parties must file a written joint submission titled either "Notification of Settlement" or "Notification of Partial Settlement."

• The joint submission must follow the requirements in 2200.100(b)(1).
• Do not replace this required joint submission by appending or substituting the actual settlement agreement; see 2200.100(b)(2).

The Notification of Settlement must list the contested items that have been settled and, if the settlement is partial, also list the contested items that remain to be decided.

• This requirement is in 2200.100(b)(1)(i).
• Be specific: identify citations, notices of contest, or parts of those documents that are resolved versus those that continue to be contested.

If posting is required, the parties must certify that the settlement agreement has been posted in the manner prescribed by 2200.7(g) and must give the date of posting.

• The certification requirement is in 2200.100(b)(1)(ii).
• See 2200.7(g) for the posting method to non-party affected employees.

Parties must certify that any employee who elected party status under 2200.20 was given an opportunity to provide input on all matters pertaining to the settlement before the agreement was finalized.

• This certification is required by 2200.100(b)(1)(iii).
• Make and keep records showing the opportunity for input (meetings, written comments, or other communications) to support the certification.

If the settlement withdraws a notice of contest, citation, notification of proposed penalty, or petition for modification of an abatement period, the parties must state whether that withdrawal is with prejudice.

• This requirement is set out in 2200.100(b)(1)(iv).
• "With prejudice" means the withdrawing party gives up the right to refile that same claim; stating this clearly in the Notification avoids later confusion about re-litigating the same item.

No. Parties shall not incorporate the settlement agreement in, or append it to, the required joint submission, nor substitute the settlement agreement for the joint submission.

• This prohibition is stated in 2200.100(b)(2).
• Prepare the Notification to summarize the settlement details required by the rule, and keep the actual settlement agreement separate unless another rule or court order requires filing it.

If the Notification of Settlement is submitted after a Judge's report, the parties must file it with the Executive Secretary and include proof of service showing service on all parties and authorized employee representatives as required by 2200.7(c), and must also show posting to non-party affected employees as required by 2200.7(g).

• See 2200.100(c).
• The parties must also file a draft order terminating the proceedings for adoption by the Judge or the Commission.

A Judge will issue an order terminating the proceeding when the requirements in 2200.100(b)(1) and 2200.100(b)(2) have been met and no affected employees who elected party status have objected to the reasonableness of any abatement period.

• If the time for electing party status has not expired, an order acknowledging termination will not be issued until at least 14 days after service or posting to allow affected employees or their representatives to object; see 2200.100(d).

Section 2200.7(c) requires that the Notification include proof of service showing that all parties and authorized employee representatives were served in the manner prescribed by that rule.

• Follow the specific service methods described in 2200.7(c) (for example, methods of delivery and timelines) and attach proof of service with the filing as required by 2200.100(c).

Section 2200.7(g) requires posting notice to non-party affected employees in the manner prescribed by that rule when posting is required.

• If the settlement requires posting, the Notification of Settlement must certify the posting and give the posting date as required by 2200.100(b)(1)(ii).
• Use the posting procedures in 2200.7(g) to ensure affected non-party employees receive notice and an opportunity to object where applicable.

No, not all settlement agreements are posted on OSHA's public website; OSHA posts major agreements but most settlements are not placed on the site, though they remain subject to FOIA.

• This explanation is provided in the OSHA letter of interpretation about OSHA website postings, OSHA website citation postings | 2004-09-27.
• Note that 2200.100(c) requires certification of posting where the settlement must be posted under Commission rules.

A Judge will issue an order acknowledging resolution and terminating the proceeding when the parties meet the notification and non-incorporation requirements of 2200.100(b)(1) and 2200.100(b)(2), and no party-status employees object to abatement reasonableness.

• See 2200.100(c) for issuance of the order and 2200.100(d) for timing if party status elections remain open.

A withdrawal "with prejudice" means the withdrawing party gives up the right to bring that same notice of contest, citation, proposed penalty, or petition for modification of the abatement period again.

• The requirement to state whether a withdrawal is "with prejudice" is in 2200.100(b)(1)(iv).
• Stating this in the Notification prevents later disputes about whether the matter can be re-litigated.

When there is a partial settlement, the Notification must list both the contested items that have been settled and the contested items that remain to be decided.

• This dual listing requirement appears in 2200.100(b)(1)(i).
• Be specific (cite item numbers, dates, citation paragraphs) so the Judge and parties can clearly see what remains at issue.

If the time for electing party status has not expired, an order acknowledging termination will not be issued until at least 14 days after service or posting to allow any affected employee or authorized representative to object to the reasonableness of an abatement period.

• See 2200.100(d) for the 14‑day waiting requirement.
• This wait gives employees a chance to raise concerns before the proceeding is formally ended.

The joint submission must be titled either "Notification of Settlement" or "Notification of Partial Settlement," as appropriate.

• That requirement is in 2200.100(b)(1).
• Use the correct title so the filing is recognized and processed under the settlement rules.

No. Even if the settlement agreement contains the required information, parties must file the separate joint submission required by 2200.100(b)(1) and may not substitute or append the actual agreement to that submission under 2200.100(b)(2).

• Keep the formal Notification distinct from the agreement itself to comply with the rule and protect any confidentiality considerations handled through FOIA or other procedures.

The parties must file a draft order terminating the proceedings for adoption by the Judge or, if the Judge's report has been issued, by the Commission.

• This filing requirement is in 2200.100(c).
• The draft order should reflect the settlement terms described in the Notification and any withdrawals stated under 2200.100(b)(1)(iv).

When posting is required, the settlement agreement (or notice required by the rules) must be posted to inform non-party affected employees in the manner set out in 2200.7(g), and the Notification must certify the posting and give the date as required by 2200.100(b)(1)(ii).

• For guidance on whether OSHA posts settlement agreements publicly, see the OSHA interpretation OSHA website citation postings | 2004-09-27.
• Follow the specific posting procedures in 2200.7(g) to make sure non-party affected employees receive notice.