C.F.R. » Title 29 » CHAPTER XVII—OCCUPATIONAL SAFETY AND HEALTH ADMINISTRATION, DEPARTMENT OF LABOR › PART 1980—PROCEDURES FOR THE HANDLING OF RETALIATION COMPLAINTS UNDER SECTION 806 OF THE SARBANES-OXLEY ACT OF 2002, AS AMENDED › Subpart A—Complaints, Investigations, Findings and Preliminary Orders

29 C.F.R. § 1980.105

Issuance of findings and preliminary orders

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(a) After considering all the relevant information collected during the investigation, the Assistant Secretary shall issue, within 60 days of the filing of the complaint, written findings as to whether or not there is reasonable cause to believe that the respondent has retaliated against the complainant in violation of the Act.

(1) If the Assistant Secretary concludes that there is reasonable cause to believe that a violation has occurred, the Assistant Secretary will accompany the findings with a preliminary order providing relief to the complainant. The preliminary order will include all relief necessary to make the employee whole, including reinstatement with the same seniority status that the complainant would have had but for the retaliation; back pay with interest; and compensation for any special damages sustained as a result of the retaliation, including litigation costs, expert witness fees, and reasonable attorney fees. Interest on back pay will be calculated using the interest rate applicable to underpayment of taxes under 26 U.S.C. 6621 and will be compounded daily. The preliminary order will also require the respondent to submit appropriate documentation to the Social Security Administration allocating any back pay award to the appropriate calendar quarters.

(2) If the Assistant Secretary concludes that a violation has not occurred, the Assistant Secretary will notify the parties of that finding.

(b) The findings, and where appropriate, the preliminary order will be sent by means that allow OSHA to confirm delivery to all parties of record (and each party's legal counsel if the party is represented by counsel). The findings, and where appropriate, the preliminary order will inform the parties of the right to object to the findings and/or order and to request a hearing, and of the right of the respondent to request an award of attorney fees not exceeding $1,000 from the administrative law judge (ALJ) regardless of whether the respondent has filed objections, if the complaint was frivolous or brought in bad faith. The findings, and where appropriate, the preliminary order, also will give the address of the Chief Administrative Law Judge, U.S. Department of Labor, or appropriate information regarding filing objections electronically with the Office of Administrative Law Judges. At the same time, the Assistant Secretary will file with the Chief Administrative Law Judge a copy of the original complaint and a copy of the findings and/or order.

(c) The findings and any preliminary order will be effective 30 days after receipt by the respondent (or the respondent's legal counsel if the respondent is represented by counsel), or on the compliance date set forth in the preliminary order, whichever is later, unless an objection and/or a request for hearing has been timely filed as provided at § 1980.106. However, the portion of any preliminary order requiring reinstatement will be effective immediately upon the respondent's receipt of the findings and the preliminary order, regardless of any objections to the findings and/or the order.

[80 FR 11880, Mar. 5, 2015, as amended at 86 FR 1789, Jan. 11, 2021]
Notes of Decisions
Cited in 12 cases (5 in the last 5 years), 2004–2025 · leading case: Mauricio A. Leon, M.D. v. Idx Sys. Corp., a Vermont Corp., Mauricio A. Leon, M.D. v. Idx Sys. Corp., a Vermont Corp., 464 F.3d 951 (9th Cir. 2006).
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Mauricio A. Leon, M.D. v. Idx Sys. Corp., a Vermont Corp., Mauricio A. Leon, M.D. v. Idx Sys. Corp., a Vermont Corp., 464 F.3d 951 (9th Cir. 2006). · cites it 2× “; see also 29 C.F.R. §§ 1980.105 , .109 (listing the remedies that can be awarded *963 by the agency, all of which are compensatory).”
Hanna v. WCI Communities, Inc., 348 F. Supp. 2d 1322 (S.D. Fla. 2004). · cites it 4× “§ 42121 and set forth in 29 C.F.R. § 1980.105 (A), “within 60 days of the filing of the [administrative] complaint, OSHA [then] issues written findings of whether or, not there is reasonable cause to believe that the [defendant] has discriminated against the employee in…”
Day v. Staples, Inc., 555 F.3d 42 (1st Cir. 2009). “§ 1514A(c)(2); see also 29 C.F.R. § 1980.105 (a). B. Application of SOX Whistleblower Provision to the Facts of Day’s Case This case turns on the appropriate interpretation of the applicable legal standards.”
Villanueva v. United States Dep't of Labor, 743 F.3d 103 (5th Cir. 2014). “§ 42121 (b)(2)(A); 29 C.F.R. § 1980.105 . Either the complainant or the respondent may file objections to OSHA’s determination with an ALJ.”
Christopher Garvey v. Admin. Review Bd., 56 F.4th 110 (D.C. Cir. 2022). “§ 42121 (b)(2)(A); 29 C.F.R. §§ 1980.105 , 1980.106. The ALJ may hold a hearing or decide the case on dispositive motions “if the facts and circumstances warrant.”
Mozingo v. South Fin. Grp., Inc., 520 F. Supp. 2d 733 (D.S.C. 2007). “§ 42121 (b)(2)(A); see also 29 C.F.R. § 1980.105 (a). “If the Assistant Secretary concludes that a violation has not occurred, the Assistant Secretary will notify the parties of that finding.”
Flake v. U.S. Dep't of Labor, 248 F. App'x 287 (3d Cir. 2007). “§ 42121 (b)(2) and 29 C.F.R. § 1980.105 (a)(2) and (b). On May 12, 2008, Flake filed objections to OSHA’s findings and requested a hearing before an Administrative Law Judge (“ALJ”).”
Rimini v. J.P. Morgan Chase & Co., No. 1:21-cv-07209 (S.D.N.Y. Oct. 31, 2022). · cites it 3× “” 29 C.F.R. § 1980.105 (b) (2018), amended by 86 Fed.”
Rimini v. J.P. Morgan Chase & Co., No. 1:21-cv-07209 (S.D.N.Y. Sept. 29, 2022). · cites it 2× “29 C.F.R. § 1980.105 (a); Wong, 890 F. Supp.”
Rimini v. J.P. Morgan Chase & Co., No. 1:21-cv-07209 (S.D.N.Y. Feb. 27, 2024). · cites it 2× “As the Court explained, this satisfied the requirements under 29 C.F.R. § 1980.105 (b). Id. Therefore, Rimini’s “receipt of the findings and preliminary order pursuant to § 1980.”
Leon v. Idx Sys. Corp., No. 04-35983 (9th Cir. Sept. 19, 2006). · cites it 2× “; see also 29 C.F.R. §§ 1980.105 , 8 The fact that Leon did not actually bring a SOX claim does not pre- clude the satisfaction of the identity of claims requirement, because he could have amended his complaint to add the SOX claim after 180 days had passed without any action by…”
Pratico v. GE Vernova, No. 1:24-cv-01204 (N.D.N.Y. Aug. 5, 2025). “29, 2022) (citing 29 C.F.R. § 1980.105 (a)). After those preliminary findings are issued, the complaining party must "file any objections and/or a request for a hearing on the record within 30 days of receipt of the findings .”
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