Motions to Approve Settlement

Proposed Settlement Order Form

Instructions for Electronically Filing
Motions to Approve Settlements and Proposed Orders

Procedures for filing motions to approve settlement are set forth in 29 C.F.R. § 2700.31.  The instructions set forth below provide guidance to assist parties in filing motions to approve settlement and proposed orders in accordance with section 2700.31.

1.      Process

In all penalty proceedings, except for discrimination proceedings arising under section 105(c) of the Mine Act, 30 U.S.C. § 815(c), parties seeking to settle a case must submit a proposed order with a motion to approve settlement.  The filing party must submit the motion and proposed order electronically.  A party may file a motion to approve settlement and proposed order non-electronically only with the permission of a Judge.

Motions to approve settlement and proposed orders approving settlement may be drafted using any standard word processing program such as Microsoft Word.  Proposed orders shall not be submitted in PDF format, although motions to approve settlement may be submitted in PDF format. 

Parties shall file a motion to approve settlement and proposed order through the Commission’s electronic case management system (e-Cms).  The documents shall be separate, and shall be named using the case name, lead docket number, and type of pleading (e.g., Acme Coal_LAKE 2008-123_Settlement Motion or Acme Coal_LAKE 2008-123_Proposed Order).

          Please note that the Commission Judge’s e-filing addresses have been deactivated.  All electronic filings must be done through e-CMS.  

          In order to use the system, you must register at If you need assistance, please email:

         Parties must not email documents to the Commission’s Docket Office address.

2.      Content

A motion to approve a penalty settlement or a proposed order must include for each violation the amount of the penalty proposed by the Secretary, the amount of the penalty agreed to in settlement, and facts in support of the penalty agreed to by the parties.  A filing party may set forth this information in the proposed order and incorporate the proposed order by reference in the motion.

The party filing the motion must also certify that the opposing party has authorized the filing party to represent that the opposing party consents to the granting of the motion and the entry of the proposed order approving settlement. 

If a motion has been filed by a Conference and Litigation Representative (“CLR”) on behalf of the Secretary of Labor, the proposed order shall include a provision in which the Judge accepts the CLR to represent the Secretary in accordance with the notice of either limited or unlimited appearance previously filed with the Commission. 

3.      Attachments

If a party electronically files a motion to approve settlement and proposed order before the Secretary has filed a petition for assessment of penalty, the filing party must also file as attachments electronic copies of the proposed penalty assessment and citations and orders at issue.  Under such circumstances, the Secretary need not file a petition for assessment of penalty.

4.     Sensitive information

Pursuant to 29 C.F.R. § 2700.5, persons submitting information to the Commission shall protect information that tends to identify certain individuals or tends to constitute an unwarranted intrusion of personal privacy in the following manner:

a.  All but the last four digits of social security numbers, financial account numbers, driver’s license numbers, or other personal identifying numbers, shall be redacted or excluded;
b.  Minor children shall be identified only by initials;
c.  If dates of birth must be included, only the year shall be used;
d.  Parties shall exercise caution when filing medical records, medical treatment records, medical diagnosis records, employment history, and individual financial information, and shall redact or exclude certain materials unnecessary to a disposition of the case.