Whistleblowing and Retaliation | by OCEG the Open Compliance and Ethics Group

Agency Guidances

DOL/OSHA Fact Sheet, Your Rights As a Whistleblower (2007)

OSC, Policy Statement on Disclosure of Information about Prohibited Personnel Practice Complaints

OSC Mediation Program Booklet

DOL, Whistleblower Protections

DOL, Employment Law Guide, Chapter: Whistleblower Protection Provisions Enforced By OSHA

DOL, Whistleblower and Non-Retaliation Protections: Whistleblower Protections

DOL/OSHA, Factsheet: Whistleblowers & the Environment

DOL/OSHA, Factsheet: Whistleblowers & Corporate Fraud

DOL/OSHA, Factsheet: Whistleblowers & Airlines

DOL/OSHA - The Whistleblower Program

DOL, Office of Administrative Law Judges - Whistleblower Regulations and Related Documents

FAA, Whistleblower Protection Program Overview

DOL/OSHA - Discrimination Against Employees Who Exercise Their Safety and Health Rights (Whistleblower)

OSHA, Whistleblower Investigations Manual

UK, The Audit Commission - Whistleblowing and the Public Interest Disclosure Act 1998: Internal Policy and Procedure (2005

UK, Whistleblowing, the FSA & the financial services industry - Policy Statement (2002)

OMP - One Minute Poll

OCEG One Minute Poll: Worry About Retaliation?

Agency Web Sites

DOL, Office of Administrative Law Judges: Law Library, Whistleblower Collection

U.S. Office of Special Counsel (OSC)

U.S. Office of Special Counsel, Whistleblower Disclosures

DOL, Office of the Solicitor - Division of Fair Labor Standards (FLS)

DOL, Office of Administrative Law Judges - Sarbanes-Oxley Act Whistleblower Digest

FAA, Whistleblower Protection Program

OSHA, Office of Investigative Assistance - The Whistleblower Program

U.S. Office of Special Counsel, Prohibited Personnel Practices

SEC, Office of the Whistleblower Website

DOL / OIG Hotline Web Site

Articles

Compliance Programs, Codes of Conduct, Whistleblowers and Hotlines (2004)

Federal Whistleblower and Retaliation Laws

Practical Solutions for Dealing with Whistleblowers

French Supreme Court Rules on SOX Whistleblowing Procedures in France (February 2010)

Dodd-Frank Strengthens Whistleblower Rights, Diminishes Employer Defenses (August 2010)

Increased motivation for whistle-blowing (2010)

SEC Adopts Final Rules on Dodd-Frank Whistleblower Program (June 2011)

Dodd-Frank Act’s Whistleblower Bounty Provision – A Primer (2011)

Books / Publications

DOL, Office of Administrative Law Judges - Whistleblower Newsletter

BoardroomDirect -- Alert: SEC issues final whistleblower rules (PwC, 2011)

Forms

Complaint Form (OSC-11, Complaint of Possible Prohibited Personnel Practice or Other Prohibited Activity, revised 2-05)

Whistleblower Disclosure Form (OSC-12, Disclosure of Information, revised 8-03)

Supplemental Complaint Form: Additional Disclosures and Personnel Actions (Form OSC-11a)

National Laws

Title 5 U.S. Code § 2302 - Prohibited personnel practices

Corporate and Criminal Fraud Accountability Act of 2002 (CCFA) (Title VII, SOX)

DOL, Office of Administrative Law Judges - Whistleblower Statutes

Title 15 U.S. Code § 2622 - Control of Toxic Substances, Employee Protection

Title 29 U.S. Code §§ 1855 - Migrant and Seasonal Agricultural Worker Protection

Title 29 U.S. Code § 1140, Interference with protected rights

Title 10 U.S. Code § 1587, Employees of nonappropriated fund instrumentalities: reprisals

Title 10 U.S. Code § 2409, Contractor employees: protection from reprisal for disclosure of certain information

Sarbanes-Oxley Act of 2002, Public Law 107-204

UK, Public Interest Disclosure Act 1998 (PIDA), 1998 Chapter 23

Sarbanes-Oxley Act of 2002, Public Law 107-204

Title 18 U.S. Code § 1514A - Civil action to protect against retaliation in fraud cases

National Regulations

29 CFR Part 1980 - Procedures for the Handling of Discrimination Complaints under Section 806 of the Corporate and Criminal Fraud Accountability Act of 2002

DOL, Office of Administrative Law Judges - Final Rule - Procedures for the Handling of Discrimination Complaints Under Section 806 of the Corporate and Criminal Fraud Accountability Act of 2002, Title VIII of the Sarbanes-Oxley Act of 2002

SEC, Securities Whistleblower Incentives and Protections (2011, Final Rule)

Organizations & Associations

National Whistleblower Center

Public Concern at Work (PCAW): Making Whistleblowing Work

Postings

OSC, Prohibited Personnel Practices Poster

OSC, Whistleblower Retaliation Poster

OSC, Disclosures, Whistleblowing Poster

Private Lists / Directories

Whistleblowerlaws.com - Chart of Federal Statutes and Regulations

Research / Studies

Unfulfilled Expectations: An Empirical Analysis of Why Sarbanes-Oxley Whistleblowers Rarely Win (2007)

Who Blows the Whistle on Corporate Fraud? (2007, Rev. 2011)

Creating a Non-Retaliatory Workplace Survey Results (2005)

ACFE's 2010 Report to the Nations on Occupational Fraud and Abuse

Whistleblower Protection: Sustained Management Attention Needed to Address Long-standing Program Weaknesses (GAO, 2010)

White Papers

Best Practices in Ethics Hotlines (EthicsLine, Updated for 2006)

Key Elements of Antifraud Programs and Controls (2003)

Hotlines in France - CNIL (EthicsPoint Whitepaper, 2007)

Regulatory Intelligence by Michael Rasmussen: an Axentis Thought Leadership White Paper