80 FR 11863 - Amendments to Existing Validated End-User Authorization in the People's Republic of China: Samsung China Semiconductor Co. Ltd.
DEPARTMENT OF COMMERCE
Bureau of Industry and Security Federal Register Volume 80, Issue 43 (March 5, 2015)
Bureau of Industry and Security
Federal Register Volume 80, Issue 43 (March 5, 2015)
| Page Range | 11863-11865 | |
| FR Document | 2015-05085 |
[Federal Register Volume 80, Number 43 (Thursday, March 5, 2015)] [Rules and Regulations] [Pages 11863-11865] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2015-05085] ======================================================================= ----------------------------------------------------------------------- DEPARTMENT OF COMMERCE Bureau of Industry and Security 15 CFR Part 748 [Docket No. 150206120-5120-01] RIN 0694-AG50 Amendments to Existing Validated End-User Authorization in the People's Republic of China: Samsung China Semiconductor Co. Ltd. AGENCY: Bureau of Industry and Security, Commerce. ACTION: Final rule. ----------------------------------------------------------------------- SUMMARY: In this rule, the Bureau of Industry and Security (BIS) amends the Export Administration Regulations (EAR) to revise the existing authorization for Validated End User Samsung China Semiconductor Co. Ltd. (Samsung China) in the People's Republic of China (PRC). Specifically, BIS amends Supplement No. 7 to Part 748 of the EAR to add two items to Samsung China's eligible items that may be exported, reexported or transferred (in country) to the company's eligible facilities (also known as ``eligible destinations'') in the PRC. DATES: This rule is effective March 5, 2015. FOR FURTHER INFORMATION CONTACT: Mi-Yong Kim, Chair, End-User Review Committee, Office of the Assistant Secretary, Export Administration, Bureau of Industry and Security, U.S. Department of Commerce, Phone: 202-482-5991; Fax: 202-482-3911; Email: [email protected]. SUPPLEMENTARY INFORMATION: Background Authorization Validated End-User Validated End-Users (VEUs) are designated entities located in eligible destinations to which eligible items may be exported, reexported, or transferred (in-country) under a general authorization instead of a license. The names of the VEUs, as well as the dates they were so designated, and their respective eligible destinations and items are identified in Supplement No. 7 to Part 748 of the EAR. Under the terms described in that supplement, VEUs may obtain eligible items without an export license from BIS, in conformity with Section 748.15 of the EAR. Eligible items vary between VEUs and may include commodities, software, and technology, except those controlled for missile technology or crime control reasons on the Commerce Control List (CCL) (part 774 of the EAR). VEUs are reviewed and approved by the U.S. Government in accordance with the provisions of Section 748.15 and Supplement Nos. 8 and 9 to Part 748 of the EAR. The End-User Review Committee (ERC), composed of representatives from the Departments of State, Defense, Energy, and Commerce, and other agencies, as appropriate, is responsible for administering the VEU program. BIS amended the EAR in a final rule published on June 19, 2007 (72 FR 33646) to create Authorization VEU. Amendment to Existing VEU Authorization for Samsung China Semiconductor Co. Ltd (Samsung China) in the People's Republic of China (PRC) Revision to the List of ``Eligible Items (by ECCN)'' for Samsung China In this final rule, BIS amends Supplement No. 7 to Part 748 to add two Export Control Classification Numbers (ECCNs), 2B006.a and 2B006.b.1.d, to the list of items that may be exported, reexported or transferred (in-country) to Samsung China's facility in the PRC under Authorization VEU. The revised list of eligible items for Samsung China is as follows: Eligible Items (by ECCN) That May Be Exported, Reexported or Transferred (In-Country) to the Eligible Destination Identified Under Samsung China Semiconductor Co. Ltd.'s Validated End-User Authorization 1C350.c.3, 1C350.d.7, 2B006.a, 2B006.b.1.d, 2B230, 2B350.d.2, 2B350.g.3, 2B350.i.3, 3A233, 3B001.a.1, 3B001.b, 3B001.c, 3B001.e, 3B001.f, 3B001.h, 3C002, 3C004, 3D002, and 3E001 (limited to ``technology'' for items classified under 3C002 and 3C004 and ``technology'' for use consistent with the International Technology Roadmap for Semiconductors process for items classified under ECCNs 3B001 and 3B002). Export Administration Act Since August 21, 2001, the Export Administration Act of 1979, as amended, has been in lapse. However, the President, through Executive Order 13222 of August 17, 2001, 3 CFR 2001 Comp., p. 783 (2002), as amended by Executive Order 13637 of March 8, 2013, 78 FR 16129 (March 13, 2013), and as extended by the Notice of August 7, 2014, 79 FR 46959 (August 11, 2014) has continued the EAR in effect under the International Emergency Economic Powers Act (50 U.S.C. 1701 et seq.). BIS continues to carry out the provisions of the Export Administration Act, as appropriate and to the extent permitted by law, pursuant to Executive Order 13222, as amended by Executive Order 13637. Rulemaking Requirements 1. Executive Orders 13563 and 12866 direct agencies to assess all costs and benefits of available regulatory alternatives and, if regulation is necessary, to select regulatory approaches that maximize net benefits (including potential economic, environmental, public health and safety effects, distributive impacts, and equity). Executive Order 13563 emphasizes the importance of quantifying both costs and benefits, reducing costs, harmonizing rules, and promoting flexibility. This rule has been determined to be not significant for purposes of Executive Order 12866. 2. This rule involves collections previously approved by the Office of Management and Budget (OMB) under Control Number 0694-0088, ``Multi- Purpose Application,'' which carries a burden hour estimate of 43.8 minutes to prepare and submit form BIS-748; and for recordkeeping, reporting and review requirements in connection with Authorization VEU, which carries an estimated burden of 30 minutes per submission. This rule is expected to result in a decrease in license applications submitted to BIS. Total burden hours associated with the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (PRA) and OMB Control Number 0694-0088 are not expected to increase significantly as a result of this rule. Notwithstanding any other provisions of law, no person is required to respond to, nor be subject to a penalty for failure to comply with a [[Page 11864]] collection of information subject to the requirements of the PRA, unless that collection of information displays a currently valid OMB Control Number. 3. This rule does not contain policies with Federalism implications as that term is defined under Executive Order 13132. 4. Pursuant to the Administrative Procedure Act (APA), 5 U.S.C. 553(b)(B), BIS finds good cause to waive requirements that this rule be subject to notice and the opportunity for public comment because they are unnecessary. In determining whether to grant VEU designations, a committee of U.S. Government agencies evaluates information about and commitments made by candidate companies, the nature and terms of which are set forth in 15 CFR part 748, Supplement No. 8. The criteria for evaluation by the committee are set forth in 15 CFR 748.15(a)(2). The information, commitments, and criteria for this extensive review were all established through the notice of proposed rulemaking and public comment process (71 FR 38313 (July 6, 2006) (proposed rule), and 72 FR 33646 (June 19, 2007) (final rule)). Given the similarities between the authorizations provided under the VEU program and export licenses (as discussed further below), the publication of this information does not establish new policy. Publication of this rule in other than final form is unnecessary because the authorizations granted in the rule are consistent with the authorizations granted to exporters for individual licenses (and amendments or revisions thereof), which do not undergo public review. In addition, as with license applications, VEU authorization applications contain confidential business information, which is necessary for the extensive review conducted by the U.S. Government in assessing such applications. This information is extensively reviewed according to the criteria for VEU authorizations, as set out in 15 CFR 748.15(a)(2). Additionally, just as the interagency reviews license applications, the authorizations granted under the VEU program involve interagency deliberation and result from review of public and non-public sources, including licensing data, and the measurement of such information against the VEU authorization criteria. Given the nature of the review, and in light of the parallels between the VEU application review process and the review of license applications, public comment on this authorization and subsequent amendments prior to publication is unnecessary. Moreover, because, as noted above, the criteria and process for authorizing and administering VEUs were developed with public comments, allowing additional public comment on this amendment to individual VEU authorizations, which was determined according to those criteria, is unnecessary. Section 553(d) of the APA generally provides that rules may not take effect earlier than thirty (30) days after they are published in the Federal Register. BIS finds good cause to waive the 30- day delay in effectiveness under 5 U.S.C. 553(d)(3) because the delay would be contrary to the public interest. BIS is simply amending the authorization of an existing VEU by adding two ECCNs to the list of eligible items that may be sent to that VEU, consistent with established objectives and parameters administered and enforced by the responsible designated departmental representatives to the End-User Review Committee. Delaying this action's effectiveness could cause confusion regarding which items are authorized by the U.S. Government and in turn stifle the purpose of the VEU Program. Accordingly, it is contrary to the public interest to delay this rule's effectiveness. No other law requires that a notice of proposed rulemaking and an opportunity for public comment be given for this final rule. Because a notice of proposed rulemaking and an opportunity for public comment are not required under the APA or by any other law, the analytical requirements of the Regulatory Flexibility Act (5 U.S.C. 601 et seq.) are not applicable. As a result, no final regulatory flexibility analysis is required and none has been prepared. List of Subjects in 15 CFR Part 748 Administrative practice and procedure, Exports, Reporting and recordkeeping requirements. Accordingly, part 748 of the EAR (15 CFR parts 730-774) is amended as follows: PART 748--[AMENDED] 0 1. The authority citation for 15 CFR part 748 continues to read as follows: Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of August 7, 2014, 79 FR 46959 (August 11, 2014). 0 2. Amend Supplement No. 7 to Part 748 by revising the entry for ``Samsung China Semiconductor Co. Ltd.'' in ``China (People's Republic of)'' to read as follows: Supplement No. 7 to Part 748--Authorization Validated End-User (VEU): List of Validated End-Users, Respective Items Eligible for Export, Reexport and Transfer, and Eligible Destinations ---------------------------------------------------------------------------------------------------------------- Validated end- Eligible items (by Federal Register Country user ECCN) Eligible destination citation ---------------------------------------------------------------------------------------------------------------- Nothing in this Supplement shall be deemed to supersede other provisions in the EAR, including but not limited to Sec. 748.15(c). ---------------------------------------------------------------------------------------------------------------- * * * * * * * Samsung China 1C350.c.3, Samsung China 78 FR 41291, 7/10/ Semi conductor 1C350.d.7, 2B006.a, Semiconductor Co. 13. 78 FR 69535, 11/ Co. Ltd. 2B006.b.1.d, 2B230, Ltd. No. 1999, 20/13. 79 FR 30713, 2B350.d.2, North Xiaohe Road 5/29/14. 80 FR 2B350.g.3, Xi'an, China 710119. [INSERT PAGE 2B350.i.3, 3A233, NUMBER], March 5, 3B001.a.1, 3B001.b, 2015. 3B001.c, 3B001.e, 3B001.f, 3B001.h, 3C002, 3C004, 3D002, and 3E001 (limited to ``technology'' for items classified under 3C002 and 3C004 and ``technology'' for use consistent with the International Technology Roadmap for Semiconductors process for items classified under ECCNs 3B001 and 3B002). * * * * * * * ---------------------------------------------------------------------------------------------------------------- [[Page 11865]] Dated: February 27, 2015. Kevin J. Wolf, Assistant Secretary for Export Administration. [FR Doc. 2015-05085 Filed 3-4-15; 8:45 am] BILLING CODE 3510-33-P
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(c) Bombardier must perform an Background 3E001 (limited to ‘‘technology’’ for
analysis to show that the design, items classified under 3C002 and 3C004
Authorization Validated End-User
manufacturing processes, and the and ‘‘technology’’ for use consistent
airworthiness limitations section of the Validated End-Users (VEUs) are with the International Technology
instructions for continued airworthiness designated entities located in eligible Roadmap for Semiconductors process
include all practical measures to destinations to which eligible items may for items classified under ECCNs 3B001
prevent, and detect and correct, failures be exported, reexported, or transferred and 3B002).
of structural lightning protection (in-country) under a general
Export Administration Act
features due to manufacturing authorization instead of a license. The
variability, aging, wear, corrosion, and names of the VEUs, as well as the dates Since August 21, 2001, the Export
likely damage. they were so designated, and their Administration Act of 1979, as
respective eligible destinations and amended, has been in lapse. However,
Issued in Renton, Washington, on February
items are identified in Supplement No. the President, through Executive Order
25, 2015.
7 to Part 748 of the EAR. Under the 13222 of August 17, 2001, 3 CFR 2001
Jeffrey E. Duven, Comp., p. 783 (2002), as amended by
terms described in that supplement,
Manager, Transport Airplane Directorate, Executive Order 13637 of March 8,
Aircraft Certification Service.
VEUs may obtain eligible items without
an export license from BIS, in 2013, 78 FR 16129 (March 13, 2013),
[FR Doc. 2015–05047 Filed 3–4–15; 8:45 am] and as extended by the Notice of August
conformity with Section 748.15 of the
BILLING CODE 4910–13–P
EAR. Eligible items vary between VEUs 7, 2014, 79 FR 46959 (August 11, 2014)
and may include commodities, software, has continued the EAR in effect under
and technology, except those controlled the International Emergency Economic
for missile technology or crime control Powers Act (50 U.S.C. 1701 et seq.). BIS
DEPARTMENT OF COMMERCE continues to carry out the provisions of
reasons on the Commerce Control List
(CCL) (part 774 of the EAR). the Export Administration Act, as
Bureau of Industry and Security appropriate and to the extent permitted
VEUs are reviewed and approved by
the U.S. Government in accordance with by law, pursuant to Executive Order
15 CFR Part 748 13222, as amended by Executive Order
the provisions of Section 748.15 and
Supplement Nos. 8 and 9 to Part 748 of 13637.
[Docket No. 150206120–5120–01]
the EAR. The End-User Review Rulemaking Requirements
Committee (ERC), composed of
RIN 0694–AG50 1. Executive Orders 13563 and 12866
representatives from the Departments of direct agencies to assess all costs and
State, Defense, Energy, and Commerce, benefits of available regulatory
Amendments to Existing Validated and other agencies, as appropriate, is
End-User Authorization in the People’s alternatives and, if regulation is
responsible for administering the VEU necessary, to select regulatory
Republic of China: Samsung China program. BIS amended the EAR in a
Semiconductor Co. Ltd. approaches that maximize net benefits
final rule published on June 19, 2007 (including potential economic,
AGENCY: Bureau of Industry and (72 FR 33646) to create Authorization environmental, public health and safety
Security, Commerce. VEU. effects, distributive impacts, and
Amendment to Existing VEU equity). Executive Order 13563
ACTION: Final rule.
Authorization for Samsung China emphasizes the importance of
SUMMARY: In this rule, the Bureau of Semiconductor Co. Ltd (Samsung quantifying both costs and benefits,
Industry and Security (BIS) amends the China) in the People’s Republic of reducing costs, harmonizing rules, and
Export Administration Regulations China (PRC) promoting flexibility. This rule has been
(EAR) to revise the existing determined to be not significant for
Revision to the List of ‘‘Eligible Items (by purposes of Executive Order 12866.
authorization for Validated End User ECCN)’’ for Samsung China 2. This rule involves collections
Samsung China Semiconductor Co. Ltd.
In this final rule, BIS amends previously approved by the Office of
(Samsung China) in the People’s
Supplement No. 7 to Part 748 to add Management and Budget (OMB) under
Republic of China (PRC). Specifically,
two Export Control Classification Control Number 0694–0088, ‘‘Multi-
BIS amends Supplement No. 7 to Part
Numbers (ECCNs), 2B006.a and Purpose Application,’’ which carries a
748 of the EAR to add two items to
2B006.b.1.d, to the list of items that may burden hour estimate of 43.8 minutes to
Samsung China’s eligible items that may
be exported, reexported or transferred prepare and submit form BIS–748; and
be exported, reexported or transferred
(in-country) to Samsung China’s facility for recordkeeping, reporting and review
(in country) to the company’s eligible
in the PRC under Authorization VEU. requirements in connection with
facilities (also known as ‘‘eligible
The revised list of eligible items for Authorization VEU, which carries an
destinations’’) in the PRC.
Samsung China is as follows: estimated burden of 30 minutes per
DATES: This rule is effective March 5, submission. This rule is expected to
2015. Eligible Items (by ECCN) That May Be result in a decrease in license
Exported, Reexported or Transferred applications submitted to BIS. Total
FOR FURTHER INFORMATION CONTACT: Mi- (In-Country) to the Eligible Destination burden hours associated with the
Yong Kim, Chair, End-User Review Identified Under Samsung China Paperwork Reduction Act of 1995 (44
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Committee, Office of the Assistant Semiconductor Co. Ltd.’s Validated U.S.C. 3501 et seq.) (PRA) and OMB
Secretary, Export Administration, End-User Authorization Control Number 0694–0088 are not
Bureau of Industry and Security, U.S. 1C350.c.3, 1C350.d.7, 2B006.a, expected to increase significantly as a
Department of Commerce, Phone: 202– 2B006.b.1.d, 2B230, 2B350.d.2, result of this rule. Notwithstanding any
482-5991; Fax: 202–482–3911; Email: 2B350.g.3, 2B350.i.3, 3A233, 3B001.a.1, other provisions of law, no person is
ERC@bis.doc.gov. 3B001.b, 3B001.c, 3B001.e, 3B001.f, required to respond to, nor be subject to
SUPPLEMENTARY INFORMATION: 3B001.h, 3C002, 3C004, 3D002, and a penalty for failure to comply with a
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![11864 Federal Register / Vol. 80, No. 43 / Thursday, March 5, 2015 / Rules and Regulations
collection of information subject to the business information, which is enforced by the responsible designated
requirements of the PRA, unless that necessary for the extensive review departmental representatives to the End-
collection of information displays a conducted by the U.S. Government in User Review Committee. Delaying this
currently valid OMB Control Number. assessing such applications. This action’s effectiveness could cause
3. This rule does not contain policies information is extensively reviewed confusion regarding which items are
with Federalism implications as that according to the criteria for VEU authorized by the U.S. Government and
term is defined under Executive Order authorizations, as set out in 15 CFR in turn stifle the purpose of the VEU
13132. 748.15(a)(2). Additionally, just as the Program. Accordingly, it is contrary to
4. Pursuant to the Administrative interagency reviews license the public interest to delay this rule’s
Procedure Act (APA), 5 U.S.C. applications, the authorizations granted effectiveness.
553(b)(B), BIS finds good cause to waive under the VEU program involve No other law requires that a notice of
requirements that this rule be subject to interagency deliberation and result from proposed rulemaking and an
notice and the opportunity for public review of public and non-public opportunity for public comment be
comment because they are unnecessary. sources, including licensing data, and given for this final rule. Because a
In determining whether to grant VEU the measurement of such information notice of proposed rulemaking and an
designations, a committee of U.S. against the VEU authorization criteria. opportunity for public comment are not
Government agencies evaluates Given the nature of the review, and in required under the APA or by any other
information about and commitments light of the parallels between the VEU law, the analytical requirements of the
made by candidate companies, the application review process and the Regulatory Flexibility Act (5 U.S.C. 601
nature and terms of which are set forth review of license applications, public et seq.) are not applicable. As a result,
in 15 CFR part 748, Supplement No. 8. comment on this authorization and no final regulatory flexibility analysis is
The criteria for evaluation by the subsequent amendments prior to required and none has been prepared.
committee are set forth in 15 CFR publication is unnecessary. Moreover,
List of Subjects in 15 CFR Part 748
748.15(a)(2). The information, because, as noted above, the criteria and
commitments, and criteria for this process for authorizing and Administrative practice and
extensive review were all established administering VEUs were developed procedure, Exports, Reporting and
through the notice of proposed with public comments, allowing recordkeeping requirements.
rulemaking and public comment additional public comment on this Accordingly, part 748 of the EAR (15
process (71 FR 38313 (July 6, 2006) amendment to individual VEU CFR parts 730–774) is amended as
(proposed rule), and 72 FR 33646 (June authorizations, which was determined follows:
19, 2007) (final rule)). Given the according to those criteria, is
similarities between the authorizations unnecessary. PART 748—[AMENDED]
provided under the VEU program and Section 553(d) of the APA generally
export licenses (as discussed further provides that rules may not take effect ■ 1. The authority citation for 15 CFR
below), the publication of this earlier than thirty (30) days after they part 748 continues to read as follows:
information does not establish new are published in the Federal Register. Authority: 50 U.S.C. app. 2401 et seq.; 50
policy. Publication of this rule in other BIS finds good cause to waive the 30- U.S.C. 1701 et seq.; E.O. 13026, 61 FR 58767,
than final form is unnecessary because day delay in effectiveness under 5 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66
the authorizations granted in the rule U.S.C. 553(d)(3) because the delay FR 44025, 3 CFR, 2001 Comp., p. 783; Notice
are consistent with the authorizations would be contrary to the public interest. of August 7, 2014, 79 FR 46959 (August 11,
2014).
granted to exporters for individual BIS is simply amending the
licenses (and amendments or revisions authorization of an existing VEU by ■ 2. Amend Supplement No. 7 to Part
thereof), which do not undergo public adding two ECCNs to the list of eligible 748 by revising the entry for ‘‘Samsung
review. In addition, as with license items that may be sent to that VEU, China Semiconductor Co. Ltd.’’ in
applications, VEU authorization consistent with established objectives ‘‘China (People’s Republic of)’’ to read
applications contain confidential and parameters administered and as follows:
SUPPLEMENT NO. 7 TO PART 748—AUTHORIZATION VALIDATED END–USER (VEU): LIST OF VALIDATED END–USERS,
RESPECTIVE ITEMS ELIGIBLE FOR EXPORT, REEXPORT AND TRANSFER, AND ELIGIBLE DESTINATIONS
Validated Eligible items
Country Eligible destination Federal Register citation
end-user (by ECCN)
Nothing in this Supplement shall be deemed to supersede other provisions in the EAR, including but not limited to § 748.15(c).
* * * * * * *
Samsung China 1C350.c.3, 1C350.d.7, 2B006.a, Samsung China Semiconductor 78 FR 41291, 7/10/13. 78 FR
Semi con- 2B006.b.1.d, 2B230, 2B350.d.2, Co. Ltd. No. 1999, North Xiaohe 69535, 11/20/13. 79 FR 30713,
ductor Co. Ltd. 2B350.g.3, 2B350.i.3, 3A233, Road Xi’an, China 710119. 5/29/14. 80 FR [INSERT PAGE
3B001.a.1, 3B001.b, 3B001.c, NUMBER], March 5, 2015.
3B001.e, 3B001.f, 3B001.h,
3C002, 3C004, 3D002, and
3E001 (limited to ‘‘technology’’
for items classified under 3C002
mstockstill on DSK4VPTVN1PROD with RULES
and 3C004 and ‘‘technology’’ for
use consistent with the Inter-
national Technology Roadmap
for Semiconductors process for
items classified under ECCNs
3B001 and 3B002).
* * * * * * *
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Dated: February 27, 2015. and Health Administration (OSHA), revised regulations are designed to be
Kevin J. Wolf, investigations by OSHA, appeals of consistent with the procedures applied
Assistant Secretary for Export OSHA determinations to an to claims under other whistleblower
Administration. administrative law judge (ALJ) for a statutes administered by OSHA,
[FR Doc. 2015–05085 Filed 3–4–15; 8:45 am] hearing de novo, hearings by ALJs, including the Surface Transportation
BILLING CODE 3510–33–P review of ALJ decisions by the Assistance Act of 1982 (STAA), 29 CFR
Administrative Review Board (ARB) part 1978; the National Transit Systems
(acting on behalf of the Secretary of Security Act (NTSSA) and the Federal
DEPARTMENT OF HEALTH AND Labor), and judicial review of the Railroad Safety Act (FRSA), 29 CFR part
HUMAN SERVICES Secretary of Labor’s final decision. It 1982; the Consumer Product Safety
also sets forth the Secretary of Labor’s Improvement Act of 2008 (CPSIA), 29
Food and Drug Administration interpretations of the Sarbanes-Oxley CFR part 1983; the Employee Protection
whistleblower provision on certain Provisions of Six Environmental
21 CFR Part 895 matters. Statutes and Section 211 of the Energy
DATES: This final rule is effective on
Reorganization Act of 1974, as
Banned Devices March 5, 2015. amended, 29 CFR part 24; the
Affordable Care Act (ACA), 29 CFR part
CFR Correction FOR FURTHER INFORMATION CONTACT:
1984; the Consumer Financial
Brian Broecker, Directorate of
In Title 21 of the Code of Federal Protection Act (CFPA), 29 CFR part
Whistleblower Protection Programs, 1985; the Seaman’s Protection Act
Regulations, Parts 800 to 1299, revised
Occupational Safety and Health (SPA), 29 CFR part 1986; and the FDA
as of April 1, 2014, on page 594, in
Administration, U.S. Department of Food Safety Modernization Act (FSMA),
§ 895.21, remove the undesignated
Labor, Room N–4624, 200 Constitution 29 CFR part 1987.
paragraph following paragraph (d)(8).
Avenue NW., Washington, DC 20210;
[FR Doc. 2015–05028 Filed 3–4–15; 08:45 am] telephone (202) 693–2199; email: II. Summary of Statutory Procedures
BILLING CODE 1505–01D OSHA.DWPP@dol.gov. This is not a toll- and Statutory Changes to the Sarbanes-
free number. This Federal Register Oxley Whistleblower Provision
publication is available in alternative Sarbanes-Oxley’s whistleblower
DEPARTMENT OF LABOR formats. The alternative formats provision, as amended by Dodd-Frank,
available are large print, electronic file includes procedures that allow a
Occupational Safety and Health on computer disk (Word Perfect, ASCII, covered employee to file a complaint
Administration Mates with Duxbury Braille System) and with the Secretary of Labor (Secretary) 1
audiotape. not later than 180 days after the alleged
29 CFR Part 1980 SUPPLEMENTARY INFORMATION: retaliation or after the employee learns
[Docket Number: OSHA–2011–0126] of the alleged retaliation. Sarbanes-
I. Background
RIN 1218–AC53
Oxley further provides that the rules
Sarbanes-Oxley was first enacted on and procedures set forth in the Wendell
July 30, 2002. Title VIII is designated as H. Ford Aviation Investment and
Procedures for the Handling of
the Corporate and Criminal Fraud Reform Act for the 21st Century
Retaliation Complaints Under Section
Accountability Act of 2002. Section 806, (AIR21), 49 U.S.C. 42121(b), govern in
806 of the Sarbanes-Oxley Act of 2002,
codified at 18 U.S.C. 1514A, is the Sarbanes-Oxley actions. 18 U.S.C.
as Amended
‘‘whistleblower provision,’’ which 1514A(b)(2)(A). Accordingly, upon
AGENCY: Occupational Safety and Health provides protection to employees receipt of the complaint, the Secretary
Administration, Labor. against retaliation by certain persons must provide written notice to the
ACTION: Final rule. covered under the Act for engaging in person or persons named in the
specified protected activity. The Act complaint alleged to have violated the
SUMMARY: This document provides the generally was designed to protect Act (respondent) of the filing of the
final text of regulations governing investors by ensuring corporate complaint, the allegations contained in
employee protection (retaliation or responsibility, enhancing public the complaint, the substance of the
whistleblower) claims under section 806 disclosure, and improving the quality evidence supporting the complaint, and
of the Corporate and Criminal Fraud and transparency of financial reporting the rights afforded the respondent
Accountability Act of 2002, Title VIII of and auditing. The whistleblower throughout the investigation. The
the Sarbanes-Oxley Act of 2002 provision is intended to protect Secretary must then, within 60 days of
(Sarbanes-Oxley or Act), which was employees who report fraudulent receipt of the complaint, afford the
amended by sections 922 and 929A of activity and violations of Securities respondent an opportunity to submit a
the Dodd-Frank Wall Street Reform and Exchange Commission (SEC) rules and
Consumer Protection Act of 2010 (Dodd- regulations that can harm innocent 1 The regulatory provisions in this part have been
Frank), enacted on July 21, 2010. An investors in publicly traded companies. written and organized to be consistent with other
whistleblower regulations promulgated by OSHA to
interim final rule (IFR) governing these Dodd-Frank amended the Sarbanes- the extent possible within the bounds of the
provisions and request for comment was Oxley whistleblower provision, 18 statutory language of Sarbanes-Oxley.
published in the Federal Register on U.S.C. 1514A. The regulatory revisions Responsibility for receiving and investigating
November 3, 2011. Five comments were described herein reflect these statutory complaints under Sarbanes-Oxley has been
mstockstill on DSK4VPTVN1PROD with RULES
delegated to the Assistant Secretary for
received. This rule responds to those amendments and also seek to clarify and Occupational Safety and Health. Secretary of
comments and establishes the final improve OSHA’s procedures for Labor’s Order No. 01–2012 (Jan. 18, 2012), 77 FR
procedures and time frames for the handling Sarbanes-Oxley whistleblower 3912 (Jan. 25, 2012). Hearings on determinations by
handling of retaliation complaints under claims, as well as to set forth OSHA’s the Assistant Secretary are conducted by the Office
of Administrative Law Judges, and appeals from
Sarbanes-Oxley, including procedures interpretations of the Act. To the extent decisions by administrative law judges are decided
and time frames for employee possible within the bounds of by the ARB. Secretary of Labor’s Order 2–2012 (Oct.
complaints to the Occupational Safety applicable statutory language, these 19, 2012), 77 FR 69378 (Nov. 16, 2012).
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Document Created: 2015-12-18 12:08:52
Document Modified: 2015-12-18 12:08:52
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
| Publisher | Office of the Federal Register, National Archives and Records Administration | |
| Section | Rules and Regulations | |
| Action | Final rule. | |
| Dates | This rule is effective March 5, 2015. | |
| Contact | Mi-Yong Kim, Chair, End-User Review Committee, Office of the Assistant Secretary, Export Administration, Bureau of Industry and Security, U.S. Department of Commerce, Phone: 202-482-5991; Fax: 202-482-3911; Email: [email protected] | |
| FR Citation | 80 FR 11863 | |
| RIN Number | 0694-AG50 | |
| CFR Associated | Administrative Practice and Procedure; Exports and Reporting and Recordkeeping Requirements |
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