Whistleblowers &
Corporate Fraud
Do I have any legal protection if
I report corporate fraud?
If you work for a publicly-traded company or
brokerage firm, or their contractor, subcontractor,
or agent, you have special whistleblower
protection under the Sarbanes-Oxley Act. Only
companies with a class of securities registered
under Section 12 of the Securities Exchange Act,
or that are required to file reports under Section
15(d) of that Act, or their contractors, subcontractors,
or agents, are covered by the
Sarbanes-Oxley Act. To check whether the
Sarbanes-Oxley Act protects you, visit the
Securities and Exchange Commission (SEC)
website, www.sec.gov, and search the EDGAR
database for your employer, or your employer’s
contractor or agent.
What are my rights as a
whistleblower?
If you work for a publicly-traded company or
brokerage firm, or their contractors, subcontractors,
or agents, your employer may not
discharge or in any manner discriminate against
you because you provided information, caused
information to be provided, or assisted in an
investigation by a federal regulatory or law
enforcement agency, a Member or committee of
Congress or an internal investigation by your
company relating to an alleged violation of mail
fraud, wire fraud, bank fraud, securities fraud, or
violating SEC rules or regulations or federal laws
relating to fraud against shareholders.
In addition, your employer may not discharge
or in any manner discriminate against you because
you filed, caused to be filed, participated in or
assisted in a proceeding under one of these laws
or regulations.
If your employer takes discriminatory action
against you because you engaged in any of these
protected activities, you can file a complaint with
OSHA.
What are discriminatory actions?
Employer retaliation against whistleblowers
who exercise their legal rights is prohibited. It is
unlawful for an employer to discriminate against
you in any manner because you engaged in any
protected activity. Such discrimination may
include the following actions:
¦ Discharge
¦ Demotion
¦ Suspension
¦ Threats
¦ Harassment
¦ Failure to hire or rehire
¦ Blacklisting
¦ Disciplinary action
How do I file a complaint?
You must file a complaint with OSHA within
90 days of the alleged violation. OSHA will
review the complaint to determine whether to
conduct an investigation, and will conduct an
investigation in accordance with the statutory
requirements. OSHA will issue findings and an
order on a complaint that will become the final
order of the Secretary if it is not appealed.
After OSHA issues its findings and order, either
party may request a full hearing before an
administrative law judge of the Department of
Labor. An administrative law judge’s decision
and order may be reviewed by the Department’s
Administrative Review Board. If a final agency
order is not issued within 180 days from the
date you filed the complaint, then you may file a
complaint in the appropriate district court of the
United States.
What relief could I receive?
If a decision is made in your favor, you are
entitled to all relief necessary to make you whole,
including the following:
¦ Reinstatement with the same seniority status.
¦ Payment of back pay with interest.
¦ Compensation for any special damages,
attorney’s fees, expert witness fees, and
litigation costs.
If your complaint is found to be frivolous or
brought in bad faith, you may be liable for
attorney’s fees up to $1,000.
2003
How can I get more information on
safety and health?
To view details about whistleblowers and
corporate fraud in Section 806 of the Sarbanes-
Oxley Act see http://0-www.oalj.dol.gov.library.
csuhayward.edu/public/wblower/refrnc/
107_204_806.htm. To learn how OSHA
investigates complaints filed under the Sarbanes-
Oxley Act, go to our website at www.osha.gov,
click on O, then click on Offices to get contact
information for your local OSHA area or regional
office, or write or call
John Spear
Director, Office of Investigative Assistance
Occupational Safety and Health Administration
200 Constitution Avenue, NW, Room N-3603
Washington, DC 20210
Telephone: 202-693-2199
To get more information on whistleblower
provisions of other laws, go to www.osha.gov,
click on W in the site index, then click on
Whistleblowers. OSHA has various
publications, standards, technical assistance,
and compliance tools to help you, and offers
extensive assistance through workplace
consultation, voluntary protection programs,
strategic partnerships, alliances, state plans,
grants, training, and education. OSHA’s Safety
and Health Program Management Guidelines
( Federal Register 54:3904-3916, January 26,
1989) detail elements critical to the development
of a successful safety and health management
system. This and other information are available
on OSHA’s website.
¦ For one free copy of OSHA publications,
send a self-addressed mailing label to OSHA
Publications Office, 200 Constitution Avenue
N.W., N-3101, Washington, DC 20210; or
send a request to our fax at (202) 693-2498,
or call us toll-free at (800) 321-OSHA.
¦ To order OSHA publications online, go to
www.osha.gov, find Newsroom in the side
bar on the right, click on Publications, and
follow the instructions for ordering.
¦ To file a complaint by phone, report an
emergency, or get OSHA advice, assistance, or
products, visit us at www.osha.gov, or contact
your nearest OSHA office, or call toll-free at
(800) 321-OSHA (6742). The teletypewriter
(TTY) number is (877) 889-5627.
¦ To file a complaint online or obtain more
information on OSHA federal and state
programs, visit OSHA’s website.
This is one in a series of informational fact sheets highlighting
OSHA programs, policies, or standards. It does not impose
any new compliance requirements. For a comprehensive list of
compliance requirements of OSHA standards or regulations,
refer to Title 29 of the Code of Federal Regulations. This information
will be made available to sensory-impaired individuals
upon request. The voice phone is (202) 693-1999. See also OSHA’s
website at www.osha.gov. |
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