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DOL/OSHA RIN: 1218-AC53 Publication ID: Fall 2013 
Title: Procedures for the Handling of Retaliation Complaints Under Section 806 of the Corporate and Criminal Fraud Accountability Act of 2002, as Amended 
Abstract: OSHA is amending 29 CFR 1980, the procedures for handling whistleblower complaints under the Corporate and Criminal Fraud Accountability Act, title VIII of the Sarbanes-Oxley Act, 18 U.S.C. 1514A (SOX), to implement statutory changes enacted by Congress under sections 922 and 929A of the Dodd-Frank Wall Street Reform and Consumer Protection Act (DFA) of 2010, and to provide other procedural updates as needed. SOX provides protection for employees who report alleged violations of the Federal mail, wire, bank, or securities fraud statutes, or the Securities Exchange Act, or any other Federal law relating to fraud against shareholders. Under the DFA, the amendments to SOX extend the statutory filing period from 90 to 180 days, provide parties with a right to a jury trial, extend coverage to nationally recognized statistical rating organizations, and clarify coverage of corporate subsidiaries. Promulgation of these changes to the regulation is necessary to govern whistleblower investigations conducted under SOX. 
Agency: Department of Labor(DOL)  Priority: Other Significant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: No  Unfunded Mandates: No 
CFR Citation: 29 CFR 1980   
Legal Authority: 18 USC 1514A    PL 111-203, secs 922 and 929A, the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010   
Legal Deadline:  None
Action Date FR Cite
Interim Final Rule  11/03/2011  76 FR 68084   
Effective Date  11/03/2011    
Comment Period End  01/03/2012    
Final Action  02/00/2014 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Small Entities Affected: No  Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Beth S. Slavet
Director, Directorate of Whistleblower Protection Programs
Department of Labor
Occupational Safety and Health Administration
200 Constitution Avenue NW., FP Building, Room N-4624,
Washington, DC 20210
Phone:202 693-2199