(a) This part sets forth procedures for, and interpretations of the anti-retaliation protections of the Anti-Money Laundering Act of 2020 contained in section 6314 of the William M. (Mac) Thornberry National Defense Authorization Act for Fiscal Year 2021, Public Law 116-283, 134 Stat. 3388 (January 1, 2021), as amended, codified at 31 U.S.C. 5323 (g)(1)-(3)and (g)(6) and referred to herein as AMLA. AMLA provides for protection from retaliation because a whistleblower has engaged in protected activity by providing information relating to a violation of 31 U.S.C. chapter 53, subchapter II (relating to records and reports on monetary instruments transactions, 31 U.S.C. 5311-5336); chapter 35 or section 4305 or 4312 of title 50; the Foreign Narcotics Kingpin Designation Act (21 U.S.C. 1901 et seq.), or conspiracies to violate the aforementioned provisions; or initiating, testifying in, or assisting in any investigation or judicial or administrative action of the Department of the Treasury or the Department of Justice based upon or related to such information; or providing information relating to any conduct that the whistleblower reasonably believes constitutes a violation of any law, rule, or regulation subject to the jurisdiction of the Department of the Treasury, or a violation of section 1956, 1957, or 1960 of title 18 (or any rule or regulation under any such provision).

(b) This part establishes procedures under AMLA for the expeditious handling of retaliation complaints filed by whistleblowers, or by persons acting on their behalf. This part, together with 29 CFR parts 18 and 26, set forth the procedures under AMLA for submission of complaints, investigations, issuance of findings and preliminary orders, objections to findings and orders, litigation before administrative law judges (ALJs), post-hearing administrative review, and withdrawals and settlements. In addition, this part provide the Secretary's interpretations of certain statutory provisions.

As used in this part:

AMLA means the provisions relating to anti-retaliation of the Anti-Money Laundering Act of 2020 contained in Sec. 6314 of the William M. (Mac) Thornberry National Defense Authorization Act for Fiscal Year 2021, Public Law 116-283, 134 Stat. 3388 (January 1, 2021), as amended, codified at 31 U.S.C. 5323(g)(1)-(3) and (6).

Assistant Secretary means the Assistant Secretary of Labor for Occupational Safety and Health or the person or persons to whom the Assistant Secretary delegates authority under AMLA.

Business days means days other than Saturdays, Sundays, and Federal holidays.

Complainant means the whistleblower who filed an AMLA complaint or on whose behalf a complaint was filed.

FinCEN means the Financial Crimes Enforcement Network, a bureau of the United States Department of the Treasury.

OSHA means the Occupational Safety and Health Administration of the United States Department of Labor.

Respondent means the person named in the complaint who is alleged to have violated AMLA.

Secretary means the Secretary of Labor or the person or persons to whom the Secretary delegates authority under certain anti-retaliation provisions of AMLA, 31 U.S.C. 5323(g)(1)-(3).

Whistleblower means any individual, or two or more individuals acting jointly, who take any of the actions described in § 1992.102(b). A whistleblower includes an individual presently or formerly working for an employer, an individual applying to work for an employer, or an individual whose employment could be affected by an employer.

(a) No employer may directly or indirectly discharge, demote, suspend, threaten, blacklist, harass, or in any other manner discriminate against a whistleblower in the terms and conditions of employment or post-employment because of any lawful act done by the whistleblower to engage in any of the activities specified in paragraphs (b)(1), (2) and (3) of this section.

(b) A whistleblower is protected against retaliation (as described in paragraph (a) of this section) by an employer for any lawful act done by the whistleblower:

(1) In providing information relating to a violation of 31 U.S.C. chapter 53, subchapter II (Records and Reports on Monetary Instruments Transactions, 31 U.S.C. 5311-5336); chapter 35 or section 4305 or 4312 of title 50; or the Foreign Narcotics Kingpin Designation Act, 21 U.S.C. 1901 et seq., or a conspiracy to violate the aforementioned provisions to:

(i) The employer of the whistleblower, including as part of the job duties of the whistleblower. The employer includes a person with supervisory authority over the whistleblower or such other person working for the employer who has authority to investigate, discover, or terminate misconduct;

(ii) The Secretary of the Treasury or the Attorney General;

(iii) A Federal regulatory or law enforcement agency; or

(iv) Any Member of Congress or any committee of Congress;

(2) In initiating, testifying in, or assisting in any investigation or judicial or administrative action of the Department of the Treasury or the Department of Justice based upon or related to the information described in paragraph (b)(1) of this section; or

(3) In providing information regarding any conduct that the whistleblower reasonably believes constitutes a violation of any law, rule, or regulation subject to the jurisdiction of the Department of the Treasury, or a violation of section 1956, 1957, or 1960 of title 18 (or any rule or regulation under any such provision) to:

(i) A person with supervisory authority over the whistleblower at the employer of the whistleblower; or

(ii) Another individual working for the employer who the whistleblower reasonably believes has the authority to investigate, discover, or terminate the misconduct; or take any other action to address the misconduct.

(c) This section shall not apply with respect to any employer that is subject to section 33 of the Federal Deposit Insurance Act (12 U.S.C. 1831j) or section 213 or 214 of the Federal Credit Union Act (12 U.S.C. 1790b,1790c.

(a) Who may file. Any individual who believes that they have been discharged or otherwise retaliated against, or is otherwise aggrieved by an employer in violation of AMLA may file, or have filed by any person on their behalf, a complaint alleging such retaliation.

(b) Nature of filing. No particular form of complaint is required. A complaint may be filed orally or in writing. Oral complaints will be reduced to writing by OSHA. If the complainant is unable to file the complaint in English, OSHA will accept the complaint in any language.

(c) Place of filing. The complaint should be filed with the OSHA office responsible for enforcement activities in the geographical area where the complainant resides or was employed, but may be filed with any OSHA officer or employee. Addresses and telephone numbers for these officials are set forth in local directories and at the following internet address: https://www.osha.gov. Complaints may also be filed online using OSHA's online complaint form, currently available at https://www.osha.gov/whistleblower/WBComplaint.html.

(d) Time for filing. Within 90 days after an alleged violation of AMLA occurs, an individual who believes that they have been retaliated against in violation of AMLA must file, or have filed by any person on their behalf, a complaint alleging such retaliation. The date of the postmark, facsimile transmittal, electronic filing or transmittal, telephone call, hand-delivery, delivery to a third-party commercial carrier, or in-person filing at an OSHA office will be considered the date of filing. The time for filing a complaint may be tolled or equitably modified for reasons warranted by applicable case law. For example, OSHA may consider the time for filing a complaint to be tolled if a complainant mistakenly files a complaint with an agency other than OSHA within 90 days after an alleged adverse action.

(a) Upon receipt of a complaint in the investigating office, OSHA will notify the respondent and the complainant's employer (if different) of the filing of the complaint, of the allegations contained in the complaint, and of the substance of the evidence supporting the complaint. Such materials will be redacted, if necessary, consistent with the Privacy Act of 1974, 5 U.S.C. 552a,and. OSHA will also notify the respondent of its rights under paragraphs (b) and (f) of this section and § 1992.110(e). OSHA will provide an unredacted copy of these same materials to the complainant (or the complainant's legal counsel if complainant is represented by counsel) and to FinCEN.

(b) Within 20 days of receipt of the notice of the filing of the complaint provided under paragraph (a) of this section, the respondent may submit to OSHA a written statement and any affidavits or documents substantiating its position. Within the same 20 days, the respondent may request a meeting with OSHA to present its position.

(c) During the investigation, OSHA will request that each party provide the other parties to the whistleblower complaint with a copy of submissions to OSHA that are pertinent to the whistleblower complaint. Alternatively, if a party does not provide its submissions to OSHA to the other party, OSHA generally will provide them to the other party (or the party's legal counsel if the party is represented by counsel) at a time permitting the other party an opportunity to respond. Before providing such materials to the other party, OSHA will redact them, if necessary, consistent with the Privacy Act of 1974, 5 U.S.C. 552a and other applicable confidentiality laws. OSHA will also provide each party with an opportunity to respond to the other party's submissions.

(d) Investigations will be conducted in a manner that protects the confidentiality of any person who provides information on a confidential basis, other than the complainant, in accordance with part 70 of this title.

(e)(1) A complaint will be dismissed unless the complainant has made a prima facie showing that protected activity was a contributing factor in the adverse action alleged in the complaint.

(2) The complaint, supplemented as appropriate by interviews of the complainant, must allege the existence of facts and evidence to make a prima facie showing as follows:

(i) The individual engaged in a protected activity;

(ii) The respondent knew or suspected that the individual engaged in the protected activity;

(iii) The individual suffered an adverse action; and

(iv) The circumstances were sufficient to raise the inference that the protected activity was a contributing factor in the adverse action.

(3) For purposes of determining whether to investigate, the complainant will be considered to have met the required burden if the complaint on its face, supplemented as appropriate through interviews of the complainant, alleges the existence of facts and either direct or circumstantial evidence to meet the required showing, i.e., to give rise to an inference that the respondent knew or suspected that the individual engaged in protected activity and that the protected activity was a contributing factor in the adverse action. The burden may be satisfied, for example, if the complainant shows that the adverse action took place shortly after the protected activity. If the required showing has not been made, the complainant (or the complainant's legal counsel if complainant is represented by counsel) will be so notified and the investigation will not commence.

(4) Notwithstanding a finding that a complainant has made a prima facie showing, as required by this section, further investigation of the complaint will not be conducted if the respondent demonstrates by clear and convincing evidence that it would have taken the same adverse action in the absence of the complainant's protected activity.

(5) If the respondent fails to make a timely response or fails to satisfy its burden set forth in paragraph (e)(4) of this section, OSHA will proceed with the investigation. The investigation will proceed whenever it is necessary or appropriate to confirm or verify the information provided by the respondent.

(f) Prior to the issuance of findings and a preliminary order as provided for in § 1992.105, if OSHA has reasonable cause, on the basis of information gathered under the procedures of this part, to believe that the respondent has violated AMLA and that preliminary reinstatement is warranted, OSHA will contact the respondent (or the respondent's legal counsel if respondent is represented by counsel) to give notice of the substance of the relevant evidence supporting the complainant's allegations as developed during the course of the investigation. This evidence includes any witness statements, which will be redacted to protect the identity of confidential informants where statements were given in confidence; if the statements cannot be redacted without revealing the identity of confidential informants, summaries of their contents will be provided. The complainant will also receive a copy of the materials that must be provided to the respondent under this paragraph (f). Before providing such materials, OSHA will redact them, if necessary, consistent with the Privacy Act of 1974, 5 U.S.C. 552a,and. The respondent will be given the opportunity to submit a written response, to meet with the investigator, to present statements from witnesses in support of its position, and to present legal and factual arguments. The respondent must present this evidence within 10 business days of OSHA's notification pursuant to this paragraph (f), or as soon thereafter as OSHA and the respondent can agree, if the interests of justice so require.

(a) After considering all the relevant information collected during the investigation, the Assistant Secretary will 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 AMLA.

(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, where appropriate: reinstatement with the same seniority status that the complainant would have had, but for the retaliation; two times the amount of back pay otherwise owed to the individual with interest; compensatory damages, including litigation costs, expert witness fees, and reasonable attorney fees; and any other appropriate remedy for the retaliation, as applicable. Interest on any back pay award will be calculated using the interest rate applicable to underpayment of taxes under 26 U.S.C. 6621 and will be compounded daily. Where appropriate, 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 periods.

(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 physical or electronic means that allow OSHA to confirm delivery to all parties of record (or 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 ALJ, regardless of whether the respondent has filed objections, if the respondent alleges that 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. The findings also may specify the means, including electronic means, for serving OSHA and the Associate Solicitor for Fair Labor Standards with documents in the administrative litigation as required under this part. 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 § 1992.106. 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.