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• Introduction• OSHA Background• 2 New Statutes with Regulations: ACA and FSMA• Timeliness• Prima Facie elements• Alternative Dispute Resolution and Settlements• Best Practices• Questions (throughout)

Agenda: Whistleblower Rights under the Occupational Safety and Health Act and Other Laws Administered by 

OSHA

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Peter Herman

Regional Whistleblower 

Investigator

Madison, Wisconsin

Contact:

Telephone: 608‐441‐5388

Email: herman.peter@dol.gov

• My opinion

• My experience

• It depends

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OSHA Coverage

The OSH Act covers most private sectoremployers and their workers, in addition to

some public sector employers and workers in the 50 states and certain territories and jurisdictions under federal authority.

• The self‐employed (including true independent contractors); 

• Immediate family members of farm employers; and

• Workplace hazards regulated by another federal agency (for example, the Mine Safety and Health Administration, the Department of Energy, Federal Aviation Administration, or Coast Guard). 

Not Covered by the OSH Act

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http://www.whistleblowers.gov

• Section 11(c) of the Act was the first whistleblower provision that OSHA was authorized to enforce

• Since then, OSHA has been given authority to enforce many additional whistleblower provisions found in various laws

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The statutes enforced by OSHA contain whistleblower or anti‐retaliation provisions that generally provide that employers may not discharge or retaliate against an employee because the employee has filed a complaint or otherwise exercised any rights provided to employees.  Each law requires that complaints be filed within a certain number of days after the alleged retaliation.  Complaints may be filed orally or in writing, and OSHA will accept the complaint in any language.

Overall Enforcement

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22 Whistleblower Statues

• Over time more statutes created with whistleblower provisions

• Most designated OSHA to investigate

• Some organizations have their own whistleblower statutes and an Inspector General to investigate i.e. HUD

Key Features of StatutesStatute Abbreviation

Burden of Proof Time to FileAppeal Venue

Punitive Maximum

TSCA Motivating 30 ALJ

SWDA Motivating 30 ALJ

SDWA Motivating 30 ALJ

OSHA Motivating 30 OSHA

ISCA Motivating 60 OSHA

FWPCA Motivating 30 ALJ

CERCLA Motivating 30 ALJ

CAA Motivating 30 ALJ

AHERA Motivating 90 OSHA

STAA Contributing 180 ALJ $250,000.00

SOX Contributing 180 ALJ

PSIA Contributing 180 ALJ

NTSSA Contributing 180 ALJ $250,000.00

MAP21 Contributing 180 ALJ

FSMA Contributing 180 ALJ

FRSA Contributing 180 ALJ $250,000.00

ERA Energy Policy Act of 2005 Contributing 180 ALJ

CPSIA Contributing 180 ALJ

CFPA Contributing 180 ALJ

AIR 21 Contributing 90 ALJ

SPA Contirbuting 180 ALJ $250,000.00

ACA Contirbuting 180 ALJ

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Affordable Care Act (ACA) (180 days). Protects employees who report violations of any provision of Title I of the ACA, including but not limited to discrimination based on an individual's receipt of health insurance subsidies, the denial of coverage based on a preexisting condition, or an insurer's failure to rebate a portion of an excess premium.

Consumer Financial Protection Act of 2010, Section 1057 of the Dodd-FrankWall Street Reform and Consumer Protection Act (180 days). Protects employees who report perceived violations of any provision of the Dodd-Frank Act, which encompasses nearly every aspect of the financial services industry. The law also protects employees who report violations of any rule, order, standard or prohibition prescribed by the Bureau of Consumer Financial Protection. • Section 806 of the Sarbanes-Oxley Act of 2002 (SOX) (180 days). Protects employees of certain companies who report alleged mail, wire, bank or securities fraud; violations of the Securities and Exchange Commission (SEC) rules and regulations; or violations of Federal laws related to fraud against shareholders. The law covers employees of publically traded companies and companies required to file certain reports with the SEC.

Fraud  Prevention Laws

Consumer Product Safety Improvement Act (CPSIA) (180 days). Protects employees who report to their employer, the federal government, or a state attorney general reasonably perceived violations of any statute or regulation within the jurisdiction of the Consumer Product Safety Commission (CPSC). CPSIA covers employees of consumer product manufacturers, importers, distributors, retailers, and private labelers.

FDA Food Safety Modernization Act (FSMA) (180 days). Protects employees of food manufacturers, distributors, packers, and transporters for reporting a violation of the Food, Drug, and Cosmetic Act, or a regulation promulgated under this law. Employees are also protected from retaliation for refusing to participate in a practice that violates this law.

Consumer Safety Laws

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Preliminary Issues: Timeliness

• Timing:  Notice the different reporting dates per statute

• Date:  Begins counting the day after adverse action

• Adverse Actions: Static, continuing, mounting –when did Complainant know?

• Tolling – very rarely – narrow exceptions

• OSHA supervisory review prior to docketing

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How OSHA Determines WhetherRetaliation Took Place?

How OSHA Determines WhetherRetaliation Took Place?

The investigation must reveal that:

• The employee engaged in protected activity;

• The employer knew about or suspected the

protected activity;

• The employer took an adverse action; and

• The protected activity motivated or contributed to the adverse action.

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4 Prima Facie Elements4 Prima Facie Elements

1. Protected Activity - Employee was involved in a protected activity (Raised a safety concern with management, reported work-related injury, reported to OSHA, or other specific acts in other statutes)

2. Knowledge – Decision maker(s) knew about the protected activity:

Someone who knows or suspects (even if incorrect) that the employee is the Whistleblower influenced the adverse decision.

Knowledge can be inferred.

3. Adverse Action - Employee was retaliated against by the company (e.g., fired, demoted, disciplined, laid off, denied promotion, blacklisted or other actions negatively affecting working conditions)

4. Nexus - Employee’s protected activity motivated or contributed to the unfavorable personnel action (depending on statute)

Factors Analyzed:

Temporal Proximity– Time relationship between protected activity and adverse actionAnimus – Evidence of ill will by employer related to the protected activityDisparate Treatment – Other employees under same circumstances as the Whistleblower are treated differentlyOther -

4 Prima Facie Elements4 Prima Facie Elements

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OSHA Analyzes the Evidence:OSHA Analyzes the Evidence:

If a preponderance of the evidence shows that the protected activity was a motivating or contributing factor (depending on the statute) in the adverse decision, then…

The company must provide clear and convincing evidence that it would have made the same adverse decision even if the whistleblower did not engage in the protected activity

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Alternative Dispute Resolution

• Pilot Project in Region V – program continuing

• Confidential mediator – Experienced Investigator

• Parties opt-in – can opt-out without consequence – case returned to investigation

• Can be initiated at any phase – ordinarily at beginning after docketing

• Does not rule out settling through the Investigator

Settlements

• Parties may use standard OSHA Settlement framework

• Parties may have a separate agreement beyond OSHA settlement agreement

• Parties may draft entirely private separate agreements

• Terms of all settlement agreements OSHA reviewed – OSHA may require use of certain language especially regarding confidentiality

• Terms that elicit scrutiny - “repugnant to the purposes of the Act”• Gag orders regarding ability to testify if subpoenaed • Confidentiality provisions can be approved • Certain liquidated damages provisions and attorney’s fees• Certain employment restrictions and do not compete terms• General releases that relate to waivers against future conduct

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Best Practices

• Responsive answer versus kitchen sink

• WB prior to companion citation cases

• Open to novel approaches to settlement

• Requests for Information from Investigator

• Not providing unsigned or unattributed material

• Timely responses

Questions?

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