SOX, OSHA, and Beyond:

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SOX, OSHA, and Beyond Litigating Whistleblower
Claims at the U.S. Department of Labor
John F. Beasley, Jr. JF Beasley
LLC Watkinsville, GA Tremain C. Mattress The
Mattress Law Firm Atlanta, GA
Stanley E. Keen U.S. Department of Labor Atlanta,
GA Carla J. Gunnin Jackson Lewis, PC Atlanta,
GA
Channah Broyde U,S. Department of Labor Atlanta,
GA
American Bar Association Section of Labor and
Employment Law December 16, 2014
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Topics Covered

• Welcome and Introductions
• Overview of DOL Whistleblower Protection Programs
  and Priorities
• DOL Process for Investigating and Adjudicating
  Whistleblower Claims
• Insights and Tips for Practitioners in DOLs
  Whistleblower Protection Programs
• Questions Answers

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Overview of DOLs Whistleblower Protection
Programs and Priorities

• History and Context
• OSHA, Section 11(c)
• Causation Standard and Burden-Shifting Framework
• Modern Whistleblower Laws

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Overview of DOL Process for Investigating and
Adjudicating Whistleblower Claims

• Intake and Pre-Filing Settlement Negotiations
• Complaint and Response
• Investigation
• Preliminary Reinstatement Order and Kick-Out
  Provisions
• Administrative Litigation
• Administrative Review Board

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Intake and Pre-Filing Settlement Negotiations

• Statutes of Limitations
• Collateral Estoppel and Claim Splitting
• Individual Liability under SOX
• Settlement Negotiations

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Filing and Responding to the Complaint

• Form, Manner, and Timeliness of Complaint
• Iqbal Twombly Considerations
• Impact of 2010 SOX Amendments regarding Mandatory
  Arbitration
• Position Statement

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Investigation (OSHA)

• Policy on Exchanging Submissions
• Confidential Materials
• Vannoy and Self-Help Discovery
• Interviews
• Pilot ADR Program
• Approval of Settlement Agreements

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Conclusion of Investigation (OSHA)

• Obtaining OSHA Investigative Materials
• Preliminary Reinstatement Orders
• Kick-Out Provisions and De Novo Review
• Opportunities for Confidential Settlement

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Litigating Before OALJ

• Discovery (Written and Oral)
• Dispositive Motions and Hearings
• Compensatory Damages (and Use of Experts)
• Proposed Findings of Facts and Conclusions of Law
• Final Order, Fee Petition, and Settlement Program

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Administrative Review Board

• Petition for Review and Waiver
• Briefing Schedule
• Joint Record
• Appeal to Circuit Court of Appeals

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QUESTIONS
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THANK YOU!