Question 1

Under 2200.31(a), how must a case initiated by a notice of contest be titled?

Accepted Answer

Under §2200.31(a)) a case started by a notice of contest must be titled exactly as: “Secretary of Labor, Complainant, v. (Name of Employer), Respondent.” Example: Secretary of Labor, Complainant, v. Acme Manufacturing, Respondent. Use the employer's full legal name in place of “(Name of Employer).” Cite: see §2200.31(a)).

Question 2

Under 2200.31(b), how must a case started by a petition for modification of an abatement period be titled?

Accepted Answer

Under §2200.31(b)) a petition for modification of an abatement period must be titled as: “(Name of Employer), Petitioner, v. Secretary of Labor, Respondent.” Example: Acme Manufacturing, Petitioner, v. Secretary of Labor, Respondent. Include the employer’s full legal name to avoid ambiguity. Cite: see §2200.31(b)).

Question 3

Under 2200.31(c), where on the pleading should the case title appear?

Accepted Answer

Under §2200.31(c)) the case title must appear at the left upper portion of the initial page of any pleading or document filed, except for exhibits. This means the first page of the pleading should show the title in the top left corner. Exhibits are excluded from this requirement and need not repeat the formal title on each exhibit. Cite: see §2200.31(c)).

Question 4

Under 2200.31(d), where should the docket number be shown on pleadings and documents?

Accepted Answer

Under §2200.31(d)) the initial page of any pleading or document (other than exhibits) must show the docket number at the upper right of the page, opposite the title, if the docket number is known. If you know the docket number, place it in the top right corner on the first page. If you do not yet know the docket number, omit it and add it later when assigned. Cite: see §2200.31(d)).

Question 5

Under 2200.31, do exhibits have to show the case title and docket number on their initial page?

Accepted Answer

Under §2200.31(c)) and §2200.31(d)), exhibits are excluded from the requirement to display the case title and docket number on their initial page. Exhibits do not need the formal title in the top left or the docket number in the top right. Even though not required, it is often helpful to add a short identifier (e.g., “Exhibit A — Acme Safety Audit”) so reviewers can easily match exhibits to pleadings. Cite: see §2200.31(c)) and §2200.31(d)).

Question 6

Under 2200.31, must the specified order of party names in the title be changed for style or preference?

Accepted Answer

Under §2200.31(a)) and §2200.31(b)), you must use the exact party order shown for the particular case type and not change it for style or preference. Notice of contest cases: Secretary of Labor first, employer second. Petitions for modification: employer (Petitioner) first, Secretary of Labor second. Cite: see §2200.31(a)) and §2200.31(b)).

Question 7

Under 2200.31, does the title and docket number need to appear on every page of a filing or only on the initial page?

Accepted Answer

Under §2200.31(c)) and §2200.31(d)), the title and docket number are required on the initial page of the pleading or document; they are not required on every subsequent page. Put the title at the left upper portion and the docket number at the right upper portion of the first page. It’s common practice to include a short running header or footer on later pages (e.g., case name and page number) to aid review, but that is not mandated by §2200.31. Cite: see §2200.31(c)) and §2200.31(d)).

Question 8

Under 2200.31, what should you do if you file before a Commission docket number is assigned?

Accepted Answer

Under §2200.31(d)) you should file without a docket number if one is not yet known and include the docket number later once it is assigned. File the pleading with the required title on the top left of the first page even if no docket number is available. When the Commission assigns a docket number, update future filings and, if required by local practice, note the number on previously filed documents when appropriate. Cite: see §2200.31(d)).

Question 9

Under 2200.31, should you use abbreviations instead of the employer’s full name in the title?

Accepted Answer

Under §2200.31(a)) and §2200.31(b)), you should use the employer’s full legal name in the title to avoid ambiguity; avoid unexplained abbreviations. If an employer commonly files under a trade name, use the legal name followed by “d/b/a” and the trade name if helpful. Clear identification in the title speeds processing and reduces confusion. Cite: see §2200.31(a)) and §2200.31(b)).

Question 10

Under 2200.31, does the rule about titles apply to cover letters or transmittal documents filed with the Commission?

Accepted Answer

Yes. Under §2200.31(c)) any pleading or document (other than exhibits) filed must show the title at the left upper portion of the initial page, so cover letters and transmittals filed as documents should also show the title on their first page. Treat cover letters and transmittal documents the same as pleadings for title placement. Exhibits attached to those documents remain exempt from the title requirement. Cite: see §2200.31(c)).

Question 11

Under 2200.31, how should multiple employers be listed in the case title if more than one employer is a party?

Accepted Answer

Under §2200.31(a)) and §2200.31(b)), if there are multiple employer parties you should list the full names of the employers as they appear in the case caption (e.g., “Acme Manufacturing and Beta Services, Respondents”). List each employer named in the proceeding; separate names with “and.” Use full legal names to make clear which entities are parties. Cite: see §2200.31(a)) and §2200.31(b)).

Question 12

Under 2200.31, what is meant by the “initial page” of a pleading or document?

Accepted Answer

Under §2200.31(c)) the “initial page” means the first page of the pleading or document being filed, and that is where the title must appear at the left upper portion. The first page is where the formal title belongs; subsequent pages do not require the full title placement. Exhibits are separate and not treated as initial pages for title placement under this rule. Cite: see §2200.31(c)).

Question 13

Under 2200.31, does the caption requirement apply to settlement agreements filed with the Commission and where can I find guidance about public posting of settlement agreements?

Accepted Answer

Under §2200.31(c)) any pleading or document filed with the Commission (which would include a filed settlement agreement) should carry the required title on the initial page, and OSHA’s Letter of Interpretation explains that most settlement agreements are public information and may be posted on OSHA’s website or disclosed under FOIA. If a settlement agreement is filed with the Commission, place the case title on the first page as required by §2200.31(c)). OSHA’s September 27, 2004 interpretation clarifies that major settlement agreements may be posted on OSHA’s website and that settlement agreements are generally subject to FOIA. Cite: see §2200.31(c)) and the Letter of Interpretation.

Question 14

Under 2200.31, is it acceptable to place the title in a different corner of the initial page to match company letterhead?

Accepted Answer

No. Under §2200.31(c)) the title must appear at the left upper portion of the initial page; placing it in a different corner to match letterhead would not comply with the rule. To meet the rule, position the title in the top left area of the first page even if your letterhead is centered or on the right. You may include company letterhead elsewhere on the page, but it should not replace the required title placement. Cite: see §2200.31(c)).

Question 15

Under 2200.31, are there any other Commission rules that affect how settlement agreements are posted or made public?

Accepted Answer

Yes. In addition to the caption rules of 2200.31, OSHA’s Letter of Interpretation references the Review Commission’s rule at 29 CFR 2200.100(c) that settlement agreements should be posted in the same manner employers are required to post citations and notices of contest, and that most settlement agreements are public information subject to FOIA.

If you plan to file a settlement agreement, expect it to be treated as a public document in many cases and handle confidential information accordingly.
Check the interpretation for practical guidance about posting and confidentiality concerns.

Cite: see 2200.31 and the Letter of Interpretation.

Case caption requirements

Questions & Answers