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October 4, 2008         DOL > OALJ > Whistleblower Collection > SOX Digest   
Sarbanes-Oxley Act (SOX)
Whistleblower Digest

PRIMA FACIE CASE

[Last Updated March 17, 2007]

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ADMINISTRATIVE REVIEW BOARD DECISIONS

BURDEN OF PROOF; MERELY PRESENTING A PRIMA FACIE CASE DOES NOT ENTITLE A COMPLAINANT TO PREVAIL

Merely presenting a prima facie case does not entitle a complainant to prevail, but merely forces a respondent to articulate its reason or reasons for an unfavorable personnel action. Once a respondent has done so, and a full hearing has been held, the prima facie case analysis is no longer relevant. Moreover, "whether or not the respondent has articulated a reason, the complainant in order to obtain relief must prove each element of his case by a preponderance of evidence. … Only if the complainant so proves must the ALJ apply a mixed motive analysis and determine whether the complainant’s employment would have been terminated anyway." Henrich v. Ecolab, Inc., ARB No. 05-030, ALJ No. 2004-SOX-51 (ARB June 29, 2006), slip op. at 16 (ALJ did not err in declining to engage in a mixed motive analysis where the Complainant failed to prove that protected activity was a contributing factor in his termination).

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