Complaint procedures overview

The Deputy Solicitor of Labor institutes enforcement proceedings by issuing a complaint and causing it to be served on the respondent. See 1921.3(a) for the exact rule and Part 1921 general provisions for context.

The complaint must contain a clear and concise factual statement that tells the respondent, with reasonable definiteness, the types of acts or practices alleged to have occurred and to violate Section 41 or the provisions of Parts 1915 and 1918. See 1921.3(b).

• Practical items to include: the alleged unsafe acts/practices, approximate dates, locations, affected operations or employees, and the specific standards or parts (e.g., Part 1915 or 1918) that are claimed to be violated.

Under 1921.3(c) the complaint may be amended at any time before the close of the hearing at the discretion of the hearing examiner and on whatever terms the hearing examiner approves. See 1921.3(c).

• This means the hearing examiner controls whether and how to allow changes, including deadlines or conditions to protect fairness to the respondent.

The hearing examiner must notify the parties of the time and place for a hearing within 10 days after the complaint is served. See 1921.3(d).

• Note: the rule requires the notice be sent within 10 days of service of the complaint; it does not fix how far in the future the scheduled hearing date may be.

Yes. A complaint may allege violations of Part 1915 shipyard standards so long as the complaint includes a clear and concise factual statement sufficient to inform the respondent of the alleged acts or practices. See 1921.3(b) and Part 1915.

• For example, a complaint can allege a violation of 29 CFR 1915.153 (eye and face protection) but should state the specific work, dates, and exposures that form the factual basis for that allegation; see the OSHA interpretation on shipyard eye and face protection at https://www.osha.gov/laws-regs/standardinterpretations/2019-12-30 for practical guidance about that standard.

The factual statement must be specific enough to inform the respondent with reasonable definiteness about what conduct is alleged and which legal provisions are claimed to be violated. See 1921.3(b).

• In practice, include who, what, where, and when (e.g., names of operations or locations, approximate dates or time periods, the hazardous acts or missing protections), and cite the particular Part 1915 or 1918 requirement if applicable.

The respondent is the party against whom enforcement proceedings are instituted (the entity or person alleged to have violated the law), and the complaint must be served upon the respondent as required by the rule. See 1921.3(a).

• While 1921.3(a) obligates service on the respondent, procedures for how service may be effected (for example, via authorized representative or counsel) are governed by other rules of practice and agency procedure; check the remainder of Part 1921 for service details.

Yes, the complaint can be amended to add new violations prior to the close of the hearing, but only if the hearing examiner exercises his or her discretion to allow the amendment and approves any terms for fairness to the parties. See 1921.3(c).

• Expect the hearing examiner to consider prejudice to the respondent, the stage of the proceeding, and whether additional time or procedural steps (e.g., reopening discovery or adjusting the schedule) are needed.

No. 1921.3(d) requires that the hearing examiner notify parties of the time and place for a hearing within 10 days after service of the complaint, but it does not mandate that the hearing must occur within those 10 days—only that the parties receive notice within that timeframe.

• Practically, you should expect the notice to be issued promptly, but the actual hearing date may be scheduled for a later, reasonable time to allow preparation.

No. The complaint needs a clear and concise factual statement to inform the respondent of the allegations, but it is not required to include the full list of evidence or exhibits the Deputy Solicitor intends to present at hearing. See 1921.3(b).

• Evidence disclosure and hearing procedures are handled through the prehearing and hearing rules in Part 1921, not by the initial complaint content alone.

Yes, the respondent may object to an amendment; the hearing examiner will decide whether to allow the amendment and may impose terms to address any unfair prejudice. See 1921.3(c).

• Common terms include granting additional time for preparation, reopening discovery, or limiting the scope of the amendment to conform to notice and fairness concerns.

Immediately upon service of a complaint, the respondent should review the complaint for the factual allegations and the cited provisions, note the date of service (because 1921.3(d) starts the 10‑day period for hearing notice), and contact counsel or the hearing office to confirm receipt and any initial scheduling or filing deadlines; see 1921.3(a).

• Also prepare to respond to the factual statements in the complaint, preserve relevant evidence, and identify any witnesses or records you may need for the hearing.

Yes. A single complaint may allege violations of Section 41 of the Act and the provisions of multiple Parts, including Part 1915 and Part 1918, provided the complaint contains a clear and concise factual statement sufficient to inform the respondent of each alleged violation. See 1921.3(b).

• When mixing allegations from different Parts, be sure the complaint identifies which factual allegations correspond to which specific regulatory provision.

"Prior to the close of the hearing" means any time before the hearing record is formally closed by the hearing examiner—typically before final oral arguments are concluded and the examiner announces the record is closed; amendments after that point are not permitted under 1921.3(c).

• If you expect late-developing facts, raise them as soon as possible so an amendment can be considered while the hearing is still open.

If parties need more time after receiving the hearing notice (which must be sent within 10 days of service per 1921.3(d)), they should promptly request a continuance or scheduling adjustment from the hearing examiner; the examiner has authority to manage scheduling and grant extensions as appropriate under the rules of practice in Part 1921.

• Make such requests in writing and explain the reasons and any supporting facts to improve the chance the examiner will grant relief.

No. While 1921.3(a) states the Deputy Solicitor of Labor institutes enforcement proceedings by issuing a complaint, in practice the Deputy Solicitor’s office or delegated staff typically prepares and issues complaints as part of the agency’s enforcement process. See Part 1921 for the formal rules of practice.

No. A complaint that is so vague that it fails to give the respondent reasonable notice of the types of acts or practices alleged will not satisfy 1921.3(b). The complaint must be clear and concise enough to inform the respondent with reasonable definiteness of the allegations.

• If a respondent believes a complaint is unacceptably vague, the respondent should raise the issue with the hearing examiner (for example, by a motion to dismiss or a motion for a more definite statement) under the procedures in Part 1921.

Yes. A complaint may allege violations of specific sections in Part 1915 (for example, 29 CFR 1915.153) and the factual statement should describe how the employer's actions or omissions violated that standard; complainants and respondents often rely on OSHA published interpretations for practical guidance on how a standard is applied. See 1921.3(b) and the shipyard eye-and-face protection interpretation at https://www.osha.gov/laws-regs/standardinterpretations/2019-12-30 for an example of how OSHA explains a specific shipyard provision.