Enter to open, tab to navigate, enter to select
OSHA Issues Updated Whistleblower Investigations Manual
Practical Law Legal Update 2-508-3126 (Approx. 4 pages)
OSHA Issues Updated Whistleblower Investigations Manual
by PLC Labor & Employment
| Published on 22 Sep 2011 • USA (National/Federal) |
An updated Whistleblower Investigations Manual has been issued by the Occupational Safety and Health Administration (OSHA). The new manual includes updated guidance for OSHA's handling of retaliation complaints under the whistleblower provisions of 21 statutes.
On September 20, 2011, the Occupational Safety and Health Administration (OSHA) issued a directive updating the OSHA Whistleblower Investigations Manual. The manual outlines procedures for the intake and investigation of retaliation complaints under the whistleblower provisions of federal statutes enforced by OSHA, including the Sarbanes-Oxley Act (SOX) under the amendments to the Dodd-Frank Act.
The previous version of the Whistleblower Investigations Manual, dated August 22, 2003, provided guidance for investigating complaints of retaliation under 14 whistleblower statutes. OSHA now has the responsibility for enforcing 21 whistleblower statutes, each with a distinct procedure for case processing and investigation. Updated information in the Manual includes:
- Clarifying that complaints may be made in English or any other language either:
- orally;
- in writing; or
- online via OSHA's Whistleblower Protection Program website.
- Adding covered respondents under SOX to include credit rating agencies or Nationally Recognized Statistical Rating Organizations (NRSROs), including its:
- officers;
- employees;
- contractors;
- subcontractors; and
- agents.
- Requiring review of OSHA’s findings in all merit determinations and certain significant dismissals, before they are issued, to ensure consistency and alert the Office of the Whistleblower Protection Program (OWPP) of any unusual issues, including in cases involving:
- complex coverage issues;
- extraterritoriality; or
- significant media attention.
- Requiring proposed merit SOX Findings and significant dismissals be:
- e-mailed to the Directorate of Enforcement Programs; and
- sent to the Director of the OWPP for review.
- Adding guidance about processing and investigating complaints under three additional whistleblower statutes, including the:
- Federal Railroad Safety Act (49 U.S.C. § 20109 (2011));
- National Transit Systems Security Act (6 U.S.C. § 1142 (2011)); and
- Consumer Product Safety Improvement Act (15 U.S.C. § 2087 (2011)).
To learn more about whistleblower protections under SOX and the Dodd-Frank Act, see Practice Note, Whistleblower Protections under Sarbanes-Oxley and the Dodd-Frank Act.
To view resources to assist in conducting an internal investigation, see Conducting Internal Investigations Toolkit.
For an update on the adoption of the SEC final rules implementing the Dodd-Frank whistleblower program, see SEC Issues Final Whistleblower Rules under the Dodd-Frank Act.