CAARA retaliation procedures

CAARA protects covered individuals from retaliation for engaging in protected activity related to alleged criminal antitrust violations or related criminal laws. Specifically, CAARA covers activity pertaining to a violation of, or a reasonable belief that there was a violation of, section 1 or section 3 of the Sherman Act, and it also covers activity related to violations of other criminal laws committed in conjunction with a potential Sherman Act violation or a DOJ investigation of a potential Sherman Act violation. See 1991.100(a).

A covered individual or a person acting on the covered individual's behalf may file a retaliation complaint under CAARA. The rule explicitly states that complaints can be filed by covered individuals or by persons acting on their behalf. See 1991.100(b).

This part establishes procedures for the expeditious handling of CAARA retaliation complaints, including submission of complaints, investigations, issuance of findings and preliminary orders, objections to findings and orders, litigation before administrative law judges (ALJs), posthearing administrative review, and withdrawals and settlements. The rules work together with those in 29 CFR part 18 to set forth these processes. See 1991.100(b) and 1991.

No—protection applies when a covered individual reasonably believes that a violation occurred, even if the belief later proves incorrect. The rule protects activity pertaining to any violation or any act or omission that the covered individual reasonably believes constitutes a violation of section 1 or 3 of the Sherman Act, or related criminal laws in conjunction with such potential violations. See 1991.100(a).

These CAARA procedures operate together with the rules in 29 CFR part 18; they are intended to be read alongside those rules to govern complaint submission, investigation, hearings, and review. The part explicitly states that the rules, together with those codified at 29 CFR part 18, set forth the procedures under CAARA. See 1991.100(b).

OSHA may issue findings and preliminary orders as part of the CAARA procedures described in this part. The framework specifically includes issuance of findings and preliminary orders as steps in handling retaliation complaints. See 1991.100(b).

Yes—complainants can file objections to findings and orders issued under these CAARA procedures. The rule lists objections to findings and orders as part of the procedural steps available in the handling of complaints. See 1991.100(b).

Yes—if a CAARA complaint proceeds to litigation, the procedures include litigation before administrative law judges (ALJs). The part explicitly includes ALJ litigation as one of the procedural stages. See 1991.100(b).

Yes—posthearing administrative review is included as one of the procedural stages in CAARA cases. The rule lists posthearing administrative review among the steps for handling complaints. See 1991.100(b).

Yes—withdrawals and settlements are explicitly included as possible procedural outcomes in the handling of CAARA retaliation complaints. The part identifies withdrawals and settlements as part of the rules governing complaint resolution. See 1991.100(b).

CAARA procedures implement protections under section 2 of the Criminal Antitrust Anti-Retaliation Act (CAARA), which is codified at 15 U.S.C. 7a–3. The rule identifies that it sets forth procedures for and interpretations of section 2 of CAARA. See 1991.100(a).

Yes—this part provides the Secretary’s interpretations of certain statutory provisions of CAARA in addition to establishing procedural rules for complaints and hearings. The text states that the rules provide the Secretary’s interpretations of certain statutory provisions. See 1991.100(b).