HEARING WITH JUDGE Ramaley AT 9:00AM (EDT) NOTICE OF ASSIGNMENT, NOTICE OF HEARING, AND INITIAL PREHEARING ORDER — 2026SOX00032

UNITED STATES DEPARTMENT OF LABOR
OFFICE OF ADMINISTRATIVE LAW JUDGES
Pittsburgh, PA
Issue Date: 14 October 2026
CASE NO.: 2026-SOX-00032
In the Matter of:
MICHAEL BARANEK,
Complainant
v.
FIRST ENERGY CORPORATION,
Respondent
NOTICE OF ASSIGNMENT, NOTICE OF HEARING,
AND INITIAL PREHEARING ORDER
This matter has been docketed for a hearing before the United States Department of Labor,
Office of Administrative Law Judges (“OALJ”) pursuant to the employee protection the Sarbanes-
Oxley Act (“SOX”), 18 U.S.C. § 1514A, and the implementing regulations at 29 C.F.R. Part 1980.
NOTICE OF ASSIGNMENT
This case has been assigned to Administrative Law Judge Sean M. Ramaley for hearing
and decision. All future pleadings, responses, and correspondence should be addressed to the
undersigned, and sent by email to OALJ-Pittsburgh@DOL.GOV. The subject line of the email
should include the name of the presiding judge, case number and title, and a short description of
the nature of the filing. Please make sure to include all parties to any emails.
The Department of Labor also has an e-file/e-serve system (EFS) and parties are
encouraged to use this system as an alternative to either mail, fax, or electronic filing by email to
OALJ-Pittsburgh@DOL.GOV. The parties are permitted to submit filings via email or through
EFS, but not both.
Electronic Filings submitted via e-mail cannot exceed 50 MB in size. Electronic filings
submitted via EFS cannot exceed 200 MB in size.
For further information and instructions on filing via email or through e-File/e-Serve
system (EFS) visit OALJ website: E-Filing and E-Service With OALJ and BALCA | U.S.
Department of Labor (dol.gov). The April 29, 2022 Memorandum link near the bottom provides
the most up-to-date detailed instructions on how to file and size limitations. Note that
confidential documents, those under seal or in camera review, and documents which are
highly sensitive cannot be e-filed through the EFS system.

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If a party is unable to transmit documents electronically, that party must contact this office
immediately to make other arrangements. When contacting this office, please note that parties,
their representatives, or other interested parties must not engage in ex parte communications on
the merits of the case with the judge. 29 C.F.R § 18.14.
Any party or representative using generative artificial intelligence (“AI”)1 to write, or assist
in writing, any filing for this case must disclose the usage of AI in the filing. Additionally, the
party or representative must provide the specific AI application or website used to write the filing
and verify that the generated content was reviewed for factual accuracy. In addition, all
filings/discovery submissions must comply with the requirements set forth in the July 8, 2026
Administrative Order, 2026-MIS-00004.
NOTICE OF HEARING AND PRE-HEARING CONFERENCE
YOU ARE HEREBY NOTIFIED that a hearing in the above-captioned case will be
conducted virtually by the undersigned Administrative Law Judge at the date and time designated
below:
April 27, 2027 at 9:00 A.M. (EDT)
and continuing as necessary to April 28, 2027
At this time, it is unclear whether an in-person hearing will be possible. As such, this
hearing is scheduled to take place by telephone conference or by videoconference. If the
parties so request, an in-person hearing may be held, provided all relevant requirements are
met and a suitable site is available. Should all of those conditions be met, and the hearing is
changed to an in-person proceeding, the undersigned will notify the parties expeditiously,
including any precautions or requirements of the host site.
Video hearings will be conducted via Microsoft Teams, and all parties and participants
must have access to the necessary equipment and software. For telephone hearings, all
parties and participants shall call in to the hearing on the designated date by dialing 1-877-
989-1528. Please call in at the scheduled hearing time, but no earlier than five (5) minutes before
the scheduled time. When prompted, parties should enter passcode 89290745, and follow any
additional prompts.
All parties must be present and on time at the scheduled hearing. A complainant’s
unexcused failure to appear may result in the dismissal of the claim. A request by a party to
continue the hearing or to change the place of the hearing must be made by motion. 29 C.F.R. §
18.33(c)(3).
1 Generative AI includes technologies and applications that create content, including text, images, and other media,
based on machine learning algorithms.

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The Office of Administrative Law Judges (“OALJ”) conducts public hearings. 29 C.F.R.
§ 18.81. A presumption of public access applies to the entire hearing process. Transcripts and
documents filed with OALJ are subject to inspection under the Freedom of Information Act
regardless of whether those documents are moved into evidence at formal hearing. The judge’s
final decision and selected orders are published on the agency website. Parties are responsible for
redacting filings and exhibits as required under 29 C.F.R. §§ 18.33 and 18.41(b). Failure to redact
or to obtain an order sealing a record prior to filing with the court may result in waiver of protection
from disclosure of information contained in those documents. For good cause, the judge may order
protection of material pursuant to 29 C.F.R. § 18.85 (privileged, sensitive, or classified material)
and §18.52 (protective orders). The Rules of Practice and Procedure, which were significantly
revised effective June 18, 2015, may be found at www.ecfr.gov and at Rules of Practice and
Procedure, 29 C.F.R. Part 18 | U.S. Department of Labor (dol.gov). 80 Fed. Reg. 28,767 (May 19,
2015). Accordingly, the parties are responsible for complying with the requirements of 29 C.F.R.
Part 18, Subpart, A, including those requirements not specifically addressed herein, unless the
SOX or its implementing regulations impose a different requirement or unless a rule is inconsistent
with a rule of special application.
YOU ARE HEREBY NOTIFIED that a telephonic pre-hearing conference in the above
captioned case:
December 15, 2026 at 9:00 A.M. (EST)
All parties shall call in to the hearing at the designated date and time by dialing 1-877-989-
1528. Please call in at the scheduled time, but no earlier than five (5) minutes before the scheduled
time. When prompted, parties should enter passcode 89290745 and follow any additional prompts.
Each party (or the party’s representative) MUST participate in the pre-hearing
teleconference. The principal purpose of the pre-hearing teleconference is to discuss the progress
of settlement discussions and, if settlement is not possible, to discuss discovery and preparations
for the upcoming hearing.
ENTRY AND WITHDRAWAL OF APPEARANCE BY REPRESENTATIVES
When first making an appearance, each representative must file a notice of appearance that
indicates whose behalf the appearance is made and the proceeding name and docket number. Any
attorney representative must include in the notice of appearance the license registration number(s)
assigned to the attorney. 29 C.F.R. § 18.22(a). An individual who is not an attorney must obtain
the presiding judge’s approval to serve as a representative by filing a written request to serve as a
non-attorney representative that sets forth the name of the party or witness represented and certifies
that the party or witness desires the representation. 29 C.F.R. § 18.22(b)(2). Notices of appearance
must include the email address at which the attorney or representative wishes to receive
correspondence from this court. Any representative who wishes to withdraw after filing a notice
of appearance or a party desiring to withdraw the appearance of a representative must file a motion
with the judge. 29 C.F.R. § 18.22(e).

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INITIAL PRE-HEARING ORDER
A. APPLICABLE RULES OF PRACTICE
The “Rules of Practice and Procedure for Administrative Hearings before the Office of
Administrative Law Judges” set forth at 29 C.F.R. part 18, shall apply in this proceeding. This
Initial Prehearing Order states the basic schedule for the proceeding and provides notice of several
procedural matters and requirements. However, this Initial Prehearing Order does not purport to
cover all applicable procedural rules and requirements, and the parties are responsible for
complying with procedural rules at 29 C.F.R. Part 18, and with the SOX regulations at 29 C.F.R.
Part 1982, including those requirements not specifically addressed herein, unless the SOX or its
implementing regulations impose a different requirement or unless a rule is inconsistent with a
rule of special application. The Rules of Practice and Procedure, which were significantly revised
effective June 18, 2015, may be found at www.ecfr.gov and at Rules of Practice and Procedure,
29 C.F.R. Part 18 | U.S. Department of Labor (dol.gov). 80 Fed. Reg. 28,767 (May 19, 2015).
B. UNREPRESENTED PARTIES
Any party who is not represented by an attorney or an otherwise-qualified
representative is hereby notified that a copy of any correspondence to the court must be sent
to the representative(s) for the opposing parties at the same time. A complainant who does
not now have an attorney or an otherwise-qualified representative should consider retaining a
representative in order to make certain that full advantage is taken of all the rights afforded under
the law and regulations.
OALJ’s staff cannot provide legal assistance, 29 C.F.R. § 18.17, and cannot discuss the
merits of a party’s case. 29 C.F.R. § 18.14. For example, OALJ’s staff cannot tell a party what
the law means. Therefore, an unrepresented complainant is urged to retain a legal representative,
if possible. OALJ does not appoint representatives or refer parties to representatives. 29 C.F.R. §
18.17. OALJ’s website, however, contains information on how to find a representative. See How
to Find Legal Representation | U.S. Department of Labor (dol.gov).
C. INITIAL CONFERENCE & INITIAL DISCLOSURES
Within fourteen (14) days from the date of this order, the parties must meet and confer
regarding the matters set forth in 29 C.F.R. § 18.50(b)(2). The initial conference may be held in
person, via telephone or video conference, or other means mutually acceptable to the parties. The
representatives of record and any unrepresented parties that have appeared in the case are jointly
responsible for arranging the conference. The parties will not be required to submit a written
discovery plan to the presiding judge in this case.

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Within twenty-one (21) days from the date of this order, and without awaiting a formal
discovery request, the parties must provide to all other parties the documents and information set
forth in 29 C.F.R. § 18.50(c)(1)(i). All disclosures must be made in writing, signed, and served.
A party must make its initial disclosures based on the information then reasonably available to it.
A party is not excused from making its disclosures because it has not fully investigated the case or
because it challenges the sufficiency of another party’s disclosures or because another party has
not made its disclosures. 29 C.F.R. § 18.50(c)(1)(vi). The initial disclosures are not filed with the
presiding judge unless used in supporting a motion or other request, or if the judge orders filing.
D. EXPERT WITNESSES
Expert witnesses will not be allowed to testify unless the offering party discloses their
identity sixty (60) days before the hearing date. 29 C.F.R. § 18.50(c)(2). This disclosure must be
accompanied by an expert witness report or disclosure, as required under 29 C.F.R. § 18.50(c)(2).
A written report or disclosure must be supplemented when required by 29 C.F.R. § 18.53.
E. DISCOVERY
Discovery in this matter is governed by 29 C.F.R. §§ 18.50-18.65. A party may seek
discovery immediately upon issuance of this Initial Prehearing Order. 29 C.F.R. § 18.50(a)(1).
Discovery must be completed not later than sixty (60) days before the hearing date. Per 29 C.F.R.
§ 18.53, the parties are required to supplement their discovery responses to include information
thereafter acquired. Parties should note that most discovery requests and responses are NOT filed
with the presiding judge until they are used in the proceeding or the judge orders filing. 29 C.F.R.
§ 18.30(b)(1).
To the greatest extent possible, the parties are expected to resolve discovery matters on
their own. If, after a good faith effort, discovery issues remain, the parties must submit a JOINT
motion identifying what issues remain unresolved, what efforts have been made to reach a
resolution, and each party’s arguments regarding the unresolved issues.
F. HEARING EXHIBITS
1. At least thirty (30) days before the hearing date, each party shall deliver to all other
parties, but not to the undersigned, copies of all documentary evidence which will be
offered at the hearing. Parties should submit their evidence to the undersigned no earlier
than twenty-one (21) days, but no later than ten (10) days, before the hearing. See 29
C.F.R. § 18.82(c). Exhibits submitted to the ALJ shall be submitted together with the
exhibit index and all exhibits in one pdf. If one pdf is not possible, then documents will be
combined into as few as necessary.
2. All documentary evidence to be offered at the hearing shall be submitted electronically as
described above, with each exhibit individually numbered and paginated (as set forth in

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sub-paragraph 3 and 4) in the lower right corner of each page. Each submission should
comply with the file size limitation noted above (not to exceed 50 MB for e-mail
submission, or 200 MB for EFS submission).
3. The parties are encouraged to stipulate as to the authenticity and content of all documents
that they agree should be made a part of the record and to submit exhibits jointly to the
greatest extent possible. Exhibits submitted jointly shall be labeled “JX ____.” (e.g., JX 1,
pg. 1 of 5)
4. Exhibits that are not submitted jointly shall be paginated and marked appropriately as
follows: Complainant - “CX ____” and Respondent - “RX ____.” (e.g., CX 1, pg. 1 of 5)
5. The exhibits shall be accompanied by an exhibit index containing a description of each
exhibit by tab number/letter, date and author, immediately followed by a statement of what
the exhibit proves.
6. A curriculum vitae or equivalent qualifications summary shall be submitted for any expert
witness as part of the documentary evidence. No oral direct evidence on the expert’s
qualifications will be permitted absent a showing of special need.
7. No post-hearing deposition testimony or other evidence of any kind shall be accepted,
except for good cause shown and with my specific authorization. Depositions offered as
exhibits must include a word index.
8. Prior to the exchange and submission of an exhibit, the parties shall comply with the
redaction requirements set forth in 29 C.F.R. § 18.31. Failure to redact or to obtain an
order sealing a record prior to filing with the judge may result in waiver of protection from
disclosure of information contained in those documents.
9. The parties are advised to conduct a review of all documents which are to be made a part
of the formal record. Any documents received that are not clearly legible will have limited
evidentiary value and may be given no weight. Attached to each exhibit containing
handwritten or difficult to read entries shall be a typed version of any such entry. A party
disagreeing with the interpretation of the entry may submit its own typed version at the
hearing.
G. PRE-HEARING STATEMENTS
Each party shall file with my office, and shall deliver a copy to all other parties, a
prehearing statement to be RECEIVED at least five (5) days before the prehearing conference.
Each party’s pre-hearing statement shall contain the items set out in 29 C.F.R. § 18.80. Unless
good cause is shown, parties will not be permitted to litigate issues, call witnesses, or introduce
evidence, except as listed on their pre-hearing statement and served as ordered herein. The parties
are encouraged to confer on agreed facts and execute a joint stipulation of agreed facts, as
appropriate. 29 C.F.R. § 18.83.

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H. MOTIONS
All written requests for relief from the presiding judge, including requests for extensions
of time or continuances, must be submitted in motion form, with a caption, and not by letter. The
motion must conform to the rules governing captions and other matters of form. 29 C.F.R. §§
18.33, 18.34 and 18.35. All responses to motions must be filed no later than fourteen (14) days
after the Motion was served on the parties and further responsive pleadings will not be accepted
without specific authorization. 29 C.F.R. §§ 18.33 (d).
Except for dispositive motions, no motion will be entertained unless the moving party
describes the results of consultation with the opposing party or parties. 29 C.F.R. § 18.33(c)(3).
Rulings on motions filed within twenty-one (21) days prior to the hearing will be deferred until
the opening of the hearing, absent compelling circumstances.
Dispositive motions, including Summary Decision, must be filed at least sixty (60) days
prior to the date fixed for the formal hearing. See 29 C.F.R. § 18.70 and 18.72. The parties may
jointly waive the formal hearing for an on-record determination. Such election should be filed
with this office at least thirty (30) days before the hearing date. See 29 C.F.R. §§ 18.70(d).
I. TRANSLATORS AND INTERPRETERS; REASONABLE ACCOMMODATIONS
The parties must advise my office immediately, but not less than sixty (60) days before
the date of the hearing if a translator or an interpreter, or any other reasonable accommodation,
will be needed at the hearing. The parties may provide their own translator or interpreter, or may
request provision of a translator or an interpreter by the Department of Labor. See, generally, 29
C.F.R. § 33.11.
J. ALTERNATIVE DISPUTE RESOLUTION AND SETTLEMENT
The parties are urged to consider alternative means for disposition throughout the course
of these proceedings, and are expected to conduct substantive discussions regarding alternative
means for resolution of this matter prior to the pre-hearing conference.
The parties are informed that the United States Department of Labor has a settlement judge
program in which, upon the request of the parties, an administrative law judge, trained in
alternative dispute resolution, will work with the parties to achieve a negotiated conclusion. See
29 C.F.R. § 18.13. A settlement judge, if requested, will be provided without cost. The Office of
Administrative Law Judges (OALJ) offers two forms of court-sponsored alternative dispute
resolution: settlement judges or mediation by a neutral. See 29 C.F.R. § 18.13 (settlement judge
rule); Alternative Dispute Resolution Act of 1996, 5 U.S.C. §§ 572 and 573 (agency may appoint
employee as a neutral to conduct mediation). For additional information see Alternative Dispute
Resolution | U.S. Department of Labor (dol.gov).

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The parties are urged to consider requesting a settlement judge if they believe that
assistance of a neutral third party will assist them in resolving this matter. The undersigned has
no role in the appointment of a settlement judge.
Any settlement agreement must be filed with the presiding judge for review and approval.
29 C.F.R. §§ 18.71, 1982.111(d)(2).
K. KICK-OUT PROVISION
Should the Complainant exercise his/her right to file the instant action in the appropriate
District Court of the United States pursuant to 18 U.S.C. § 1514A (b)(1)(B) the Complainant
must notify the undersigned of such filing and provide a copy of the filed Complaint.
L. CONSEQUENCES OF FAILURE TO COMPLY
Failure to comply fully with this order may result in sanctions including, but not limited
to, the following: the exclusion of evidence, the dismissal of the claim, the entry of a default
judgment, or the removal of the offending representative from the case. See 29 C.F.R. §§ 18.12(b),
18.35(c), 18.57 and 18.87.
SO ORDERED.
SEAN M. RAMALEY
Administrative Law Judge