Don't Get Steamrolled: OSHA Streamlines the SOX Retaliation Complaint Process | Practical Law

Don't Get Steamrolled: OSHA Streamlines the SOX Retaliation Complaint Process | Practical Law

Resources to assist lawyers investigating and litigating whistleblower OSHA complaints under the Sarbanes-Oxley Act. These resources highlight Practical Law content on the topic of retaliation complaints and include standard documents and best practices guidance.

Don't Get Steamrolled: OSHA Streamlines the SOX Retaliation Complaint Process

Practical Law Legal Update 6-603-8065 (Approx. 4 pages)

Don't Get Steamrolled: OSHA Streamlines the SOX Retaliation Complaint Process

by Practical Law Labor & Employment
Law stated as of 10 Mar 2015 • USA (National/Federal)
Resources to assist lawyers investigating and litigating whistleblower OSHA complaints under the Sarbanes-Oxley Act. These resources highlight Practical Law content on the topic of retaliation complaints and include standard documents and best practices guidance.
On March 5, 2015, the Occupational Safety and Health Administration (OSHA) revised its regulations to make it consistent with the changes made to Section 806 of the Sarbanes-Oxley Act 18 U.S.C. § 1514A(SOX). The changes to SOX resulted from congress' enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. In addition to procedural changes, the revised regulations set out the Secretary of Labor's interpretations of the SOX whistleblower provision on certain matters.
The revised regulations specifically establish the final procedures and time frames for the handling of retaliation complaints under SOX, including:
  • Procedures and time frames for employee complaints to OSHA.
  • Investigations by OSHA.
  • Appeals of OSHA determinations to an Administrative Law Judge (ALJ) for a hearing de novo.
  • Hearings by ALJs.
  • Review of ALJ decisions by the Administrative Review Board (ARB) (acting on behalf of the Secretary of Labor).
  • Judicial review of the Secretary of Labor's final decision.
The revised regulations also provide clarification of the rules, which may facilitate the filing of a complaint and increase the chances of a favorable outcome for the employee. For example:
  • Complaints under this provision do not have to be made in writing; oral complaints are allowed (18 U.S.C. § 1514A(b)(1)(A)).
  • An employee may meet the prima facie case requirement through the complaint and supplemental evidence that the complainant provides in OSHA interviews.
Given these changes and interpretations, employers should be prepared to investigate and respond to SOX whistleblower and retaliation claims efficiently and effectively. Practical Law provides several resources to assist employers in this process, including: