[Code of Federal Regulations]
[Title 29, Volume 9]
[Revised as of July 1, 2004]
From the U.S. Government Printing Office via GPO Access
[CITE: 29CFR1978.111]

[Page 202-203]
 
                             TITLE 29--LABOR
 
CHAPTER XVII--OCCUPATIONAL SAFETY AND HEALTH ADMINISTRATION, DEPARTMENT 
                          OF LABOR (CONTINUED)
 
PART 1978_RULES FOR IMPLEMENTING SECTION 405 OF THE SURFACE TRANSPORTATION 
ASSISTANCE ACT OF 1982 (STAA)--Table of Contents
 
                      Subpart B_Rules of Procedure
 
Sec. 1978.111  Withdrawal of section 405 complaints, objections, and 
findings; settlement.

    (a) At any time prior to the filing of objections to the findings or 
preliminary order, an employee may withdraw his or her section 405 
complaint by filing a written withdrawal with the Assistant Secretary. 
The Assistant Secretary shall thereafter determine whether the 
withdrawal shall be approved. The Assistant Secretary shall notify the 
named person of the approval of any withdrawal.
    (b) The Assistant Secretary may withdraw his findings or a 
preliminary order at any time before the expiration of the 30-day 
objection period, provided that no objection has yet been filed, and 
substitute new findings or preliminary order. The date of the receipt of 
the substituted findings or order shall begin a new 30-day objection 
period.
    (c) At any time before the findings or order become final, a party 
may withdraw his objections to the findings or order by filing a written 
withdrawal with the administrative law judge or, if the case is on 
review, with the Administrative Review Board, United States Department 
of Labor. The judge or the Administrative Review Board, United States 
Department of Labor, as the case may be, shall affirm any portion of the 
findings or preliminary order with respect to which the objection was 
withdrawn.
    (d)(1) Investigative settlements. At anytime after the filing of a 
section 405 complaint by an employee and before the finding and/or order 
are objected to, or become a final order by operation of law, the case 
may be settled if the Assistant Secretary, the complainant and the named 
person agree to a settlement.
    (2) Adjudicatory settlement. At any time after the filing of 
objections to the Assistant Secretary's findings and/or order, the case 
may be settled if the participating parties agree to a settlement and 
such settlement is approved by the Administrative Review Board, United 
States Department of Labor, or the ALJ. A copy of the settlement shall 
be filed with the ALJ or the Administrative Review Board, United States 
Department of Labor as the case may be.
    (3) If, under paragraph (d)(1) or (2) of this section the named 
person makes an offer to settle the case which the Assistant Secretary, 
when acting as the prosecuting party, deems to be a fair and equitable 
settlement of all matters at issue and the complainant refuses to accept 
the offer, the Assistant Secretary may decline to assume the role of 
prosecuting party as set forth in Sec. 1978.107(a). In such 
circumstances, the Assistant Secretary shall immediately notify the 
complainant that his review of the settlement

[[Page 203]]

offer may cause the Assistant Secretary to decline the role of 
prosecuting party. After the Assistant Secretary has reviewed the offer 
and when he or she has decided to decline the role of prosecuting party, 
the Assistant Secretary shall immediately notify all parties of his or 
her decision in writing and, if the case is before the administrative 
law judge, or the Administrative Review Board, United States Department 
of Labor on review, a copy of the notice shall be sent to the 
appropriate official. Upon receipt of the Assistant Secretary's notice, 
the parties shall assume the roles set forth in Sec. 1978.107(b).

[53 FR 47681, Nov. 25, 1988, as amended at 61 FR 19986, May 3, 1996]

                        Miscellaneous Provisions