Unfulfilled Expectations: An Empirical Analysis of Why Sarbanes-Oxley Whistleblowers Rarely Win
نویسندگان
چکیده
Scholars praise the whistleblower protections of the Sarbanes-Oxley Act of 2002 as one of the most protective anti-retaliation provisions i n the world. Yet, during its first three years, only 3.6% of Sarbanes-Oxley whistleblowers won relief through the initial administrative process that adjudicates such claims, and only 6.5% of whistleblowers won appeals through the process. This Article reports the results of a n empirical study of all Department of Labor Sarbanes-Oxley determinations during this time, consisting of over 700 separate decisions from administrative investigations and hearings. The results of this detailed analysis demonstrate that administrative decision makers strictly construed, and i n some cases misapplied, Sarbanes-Oxley's substantive protections to the significant disadvantage of employees. These data-based findings assist i n identifying the provisions and procedures of the Act that do not work as Congress intended and suggest potential remedies for these statutory and administrative deficiencies. whose methodological insight and advice proved invaluable. I also truly appreciate the helpful comments from and the participants a t the First Annual Colloquium on Current Scholarship in Labor and Employment Law a t Marquette University Law School. I owe significant thanks to Nilgun Tolek, the Director of OSHA's Office of Investigative Assistance, who handled my Freedom of Information Act requests (and many follow-up questions and requests) with candor and integrity. May all government employees be as responsive to the public as Ms. Tolek. deserve special mention because of their focus and patience during the coding of over 700 case files. A McCollum Research Grant provided support for the research and writing of this Article.
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