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Corporate Whistleblowers Are Left Dangling企业举报者是左摇荡

Thursday, September 4th, 2008 周四, 2008年9月4日

By通过 JENNIFER LEVITZ珍妮佛levitz | The Department of Labor, charged with enforcing the federal law protecting corporate whistleblowers at publicly traded companies, has been dismissing complaints on the technicality that workers at corporate subsidiaries aren’t covered. |部劳动,负责执行联邦法律保护的企业举报,在公开交易的公司,已驳回投诉,技术性工人在企业的子公司是不在保险范围内。

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The government has ruled in favor of whistleblowers 17 times out of 1,273 complaints filed since 2002, according to department records.政府已排除在有利于举报的17倍,走出1273年的投诉,自2002年以来,根据署的纪录。 Another 841 cases have been dismissed.另一八四一箱子已被解雇。 Many of the dismissals were made on the grounds that employees worked for a corporate subsidiary, says Richard Moberly, a University of Nebraska law professor.许多解雇作出的,理由是员工为公司的附属公司, Richard说moberly ,内布拉斯加大学的法学教授。 He studies issues involving workers who face retaliation from employers for reporting wrongdoing, and based his findings on department data.他研究的问题,涉及的工人谁面对报复雇主报告不法行为,并根据他的调查结果就署的数据。 The rest of the cases are either pending, withdrawn or were settled.其余的案件都是等候,撤回或获得解决。

Sen. Patrick Leahy, a Vermont Democrat who helped craft the whistleblower provision — part of the Sarbanes-Oxley corporate governance act — says the law was meant to cover workers in corporate subsidiaries.参议员帕特里克莱希,佛蒙特州民主党谁帮助工艺该举报人提供-的一部分,萨班斯-奥克斯利公司治理法-说,该法是指以支付工人在公司的附属公司。 “Otherwise, a company that wants to do something shady, could just do it in their subsidiary,” he said. “否则,公司希望做一些黑幕,可能只是这样做在他们的附属, ”他说。

Sharon Worthy, a Labor Department spokeswoman, said the agency “believes that there is no legal basis for the argument that subsidiaries of covered corporations are automatically covered” under the Sarbanes-Oxley whistleblower provision.沙龙值得,劳工部发言人说,该机构“认为,有没有法律依据的说法子公司所涵盖的公司是自动涵盖: ”根据萨班斯-奥克斯利举报人的规定。 “The plain language of the statute only applies to publicly traded corporations,” she said in a statement. “浅白的文字,该规约的只适用于公开交易的公司,她说: ”在一份声明。

The agency declined to provide the exact number of cases dismissed because employees worked for a subsidiary.该机构拒绝提供确切的个案数目,被解雇的雇员,因为工作的一个附属。 Ms Worthy said only 17 employees have won favorable findings because many cases are settled before adjudication.值得女士说,只有17名雇员,赢得了良好的结果,因为很多情况下是解决之前,审判。 Records show 187 cases have been settled to date.记录显示, 187例得到解决为止。

The dismissed cases include three whistleblower complaints against the German manufacturing conglomerate Siemens AG and two against London media giant WPP Group PLC.被解雇的案件,包括三举报人的投诉,对德国制造业的砾岩,西门子和两名反对伦敦媒体巨擘的WPP Group PLC的。 The Labor Department rejected all five cases because the employees worked for subsidiaries, agency records show.美国劳工部拒绝了所有五宗个案,因为雇员工作的附属公司,机构的记录显示。 Both companies declined to comment.两家公司都拒绝对此发表评论。

Another pending case involves另一个悬而未决案件涉及 UBS 瑞银华宝 AG, the Swiss bank.银,瑞士银行。 The plaintiff, Timothy Flynn, alleged that in June he was suspended from his job as a UBS financial adviser for cooperating with a Massachusetts investigation of the bank’s sales of auction-rate securities.原告,提摩太弗林,据称,在6月,他被禁赛从他的工作,作为瑞银集团的财务顾问,合作与马萨诸塞州的调查该银行的销售拍卖-息证券。 Mr. Flynn’s attorney, Jason Archinaco, says the Labor Department has asked him to show that the UBS unit that employed his client is covered under the act. Flynn先生的律师贾森archinaco说,劳工部已要求他表明,瑞银华宝单位聘用,他的当事人是涵盖根据该法。

UBS declined to comment.瑞银集团拒绝对此发表评论。

The Sarbanes-Oxley act, passed by Congress in 2002 in response to the Enron Corp. and Worldcom Inc. scandals, included the first federal protection for corporate whistleblowers.萨班斯-奥克斯利法案,美国国会通过2 002年在回应安然公司和世界通讯公司丑闻,包括第一联邦的保护,为企业举报。 Before, there was only a patchwork of state laws protecting them from retaliation.之前,只有东拼西凑的国家的法律,保护他们免遭报复。 Under the act, remedies can include back pay, reinstatement and attorney’s fees.根据该法,补救措施可以包括回工资,复职和律师费。

The Labor Department’s division of Occupational Safety and Health Administration enforces the whistleblowers’ provision.劳工部的分工,职业安全和健康管理局执行举报者'的条文。 It prohibits publicly-traded companies or “any other officer, employee, contractor, subcontractor, or agent of such company” from retaliating against employees who provide information or assist in investigations related to alleged fraud.它禁止公开上市交易的公司或“任何其他高级人员,雇员,承包商,分包商,或代理人,这样的公司”从报复雇员谁提供资料或协助,在调查有关指称的欺诈行为。 According to Sen. Leahy, the provision was written to be “interpreted as broadly as possible.”根据参议员莱希,该条文是写信给“解释为尽可能广泛地” 。

In a whistleblower case still pending at the Labor Department, Carri Johnson, a Minnesota woman, alleges she received a poor performance review and was fired from her job as a manager at Siemens Building Technologies Inc. in 2004 after reporting suspected fraud.在一个举报人案件仍悬而未决,在劳工部, carri约翰逊,明尼苏达州的女子,声称她收到了表现欠佳的审查和被解雇,从她的工作,作为管理者,在西门子楼宇科技公司在2004年后,积极举报涉嫌欺诈。

Financial figures for Siemens Building, based in Buffalo, Ill., are included in Siemens AG’s consolidated financial statements, which describe the unit as one of the company’s “operation groups.”财务数字,西门子的建设,总部设在布法罗,伊利诺州,是包括在西门子公司的合并财务报表,其中叙述了单位之一,该公司的“行动组” 。

In a Labor Department filing, Siemens Building argued that it wasn’t covered under the whistleblower provision.在劳工部备案,西门子建设争辩说,这是不包括根据举报人提供。 In November, an administrative law judge at the department sided with the company.在11月,行政法官在该署片面与该公司合作。 Ms. Johnson appealed to the Labor Department’s administrative review board, where the case is pending.约翰逊女士呼吁劳工部的行政复议委员会,此案仍在法院审理中。

Gregory Jacob, the agency’s chief legal officer, has asked the review board to uphold the November decision, according to filings in the case.格雷戈里雅各布,该机构的首席法律事务官,已要求检讨委员会要坚持十一月决定,根据申报在此案。 In a legal brief, he argued that Ms. Johnson had not shown that the two companies were “significantly interrelated” or that Siemens AG controls employment policies at Siemens Building.在一个简短的法律,他认为,约翰逊女士没有显示,这两家公司分别为“显着相互关联的” ,或西门子公司控制的就业政策,在西门子的建设。 He also wrote that the Sarbanes-Oxley law does not “expressly” mention subsidiaries.他还写道,萨班斯-奥克斯利法没有“明确”提及的附属公司。

In the last two years, the Labor Department has dismissed two other Siemens whistleblower complaints because the plaintiffs worked at subsidiaries, according to agency filings.在过去两年中,美国劳工部已驳回其他两个西门子举报人的投诉,因为原告的工作,在附属公司,根据机构备案。 Nearly all of Siemens AG’s approximately 400,000 employees work at its business groups, according to Siemens AG’s 2007 SEC filings.几乎所有的西门子公司的大约40.0万雇员的工作,在其商业团体,根据西门子公司的2007年提交给证券交易委员会。

In the last year, department judges have dismissed two whistleblower complaints filed by employees at subsidiaries of WPP Group PLC, saying workers at its subsidiaries aren’t protected by Sarbanes-Oxley.在过去的一年,署法官驳回两名举报人的投诉,由雇员在子公司的WPP Group PLC的说,工人在其子公司没有保障,由萨班斯-奥克斯利法案。 In its annual report, WPP describes its various companies as being “centrally integrated.”在其年度报告中, WPP的描述其不同的公司作为“中央集成” 。

Joseph Burke, a former production director at Ogilvy & Mather, alleged that the WPP advertising unit decreased his job responsibilities and ultimately fired him in retaliation for his cooperation with a federal criminal investigation into his employer’s billing practices.约瑟夫伯克,前生产总监奥美,指称该单位的WPP广告减少他的岗位职责,并最终发射,他是在报复他的合作与联邦刑事调查其雇主的帐单的做法。 Mr. Burke had testified in a 2005 federal trial, which led to the sentencing of two former Ogilvy executives to prison for overbilling the government for an antidrug campaign.伯克先生作证,在2005年联邦审判,从而导致判刑的两名前奥美高层监狱overbilling政府为扫毒运动。

According to Labor Department filings, Ogilvy denied that Mr. Burke’s dismissal was related to his testimony and said he was part of a “reduction in force.” A company executive testified that Mr. Burke was a “terrific worker,” according to a summarized transcript of the hearing,根据美国劳工部的报批,奥美否认柏克先生的解雇与他的证词,并表示他的一个组成部分, “减少在武力”一间公司执行作证说,伯克先生是一个“了不起的工人, ”根据综述誊听证会,

Ogilvy argued that Mr. Burke’s complaint should be dismissed because the company isn’t subject to the Sarbanes-Oxley whistleblower provision.奥格威认为,伯克先生的投诉,应被解雇,是因为该公司并不受萨班斯-奥克斯利举报人的规定。 In May, a Labor Department administrative law judge dismissed Mr. Burke’s whistleblower complaint, saying he “has not established, by a preponderance of evidence, that he is an employee of a company covered under” the Sarbanes-Oxley whistleblower provision.今年5月,美国劳工部行政法法官驳回先生伯克的举报人投诉,说他“已不成立,由一个优势的证据,即他是一个雇员的公司包括在”萨班斯-奥克斯利举报人的规定。

Under Sarbanes-Oxley, whistleblowers eventually can appeal Labor Department’s rulings to federal circuit court.根据萨班斯-奥克斯利法案,举报者可以提出上诉,最终劳动部门的裁决向联邦巡回法院。 But they face “an uphill battle,” says Mr. Moberly, the law professor.但他们所面对的“一场艰苦的战斗,说: ”先生moberly ,法学教授。


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