29 C.F.R. § 1980.101

Definitions

Read at: eCFRecfr.gov CornellLII GovInfogovinfo.gov CasesGoogle Scholar

As used in this part:

(a) Act means section 806 of the Corporate and Criminal Fraud Accountability Act of 2002, Title VIII of the Sarbanes-Oxley Act of 2002, Pub. L. 107-204, July 30, 2002, codified at 18 U.S.C. 1514A, as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, Pub. L. 111-203, July 21, 2010.

(b) Assistant Secretary means the Assistant Secretary of Labor for Occupational Safety and Health or the person or persons to whom he or she delegates authority under the Act.

(d) Company means any company with a class of securities registered under section 12 of the Securities Exchange Act of 1934 (15 U.S.C. 78l) or any company required to file reports under section 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78o(d)) including any subsidiary or affiliate whose financial information is included in the consolidated financial statements of such company.

(e) Complainant means the employee who filed a complaint under the Act or on whose behalf a complaint was filed.

(f) Covered person means any company, including any subsidiary or affiliate whose financial information is included in the consolidated financial statements of such company, or any nationally recognized statistical rating organization, or any officer, employee, contractor, subcontractor, or agent of such company or nationally recognized statistical rating organization.

(g) Employee means an individual presently or formerly working for a covered person, an individual applying to work for a covered person, or an individual whose employment could be affected by a covered person.

(h) Nationally recognized statistical rating organization means a credit rating agency under 15 U.S.C. 78c(61) that:

(1) Issues credit ratings certified by qualified institutional buyers, in accordance with 15 U.S.C. 78o-7(a)(1)(B)(ix), with respect to:

(i) Financial institutions, brokers, or dealers;

(ii) Insurance companies;

(iii) Corporate issuers;

(iv) Issuers of asset-backed securities (as that term is defined in section 1101(c) of part 229 of title 17, Code of Federal Regulations, as in effect on September 29, 2006);

(v) Issuers of government securities, municipal securities, or securities issued by a foreign government; or

(vi) A combination of one or more categories of obligors described in any of paragraphs (h)(1)(i) through (v) of this section; and

(2) Is registered under 15 U.S.C. 78o-7.

(i) OSHA means the Occupational Safety and Health Administration of the United States Department of Labor.

(j) Person means one or more individuals, partnerships, associations, companies, corporations, business trusts, legal representatives or any group of persons.

(k) Respondent means the person named in the complaint who is alleged to have violated the Act.

(l) Secretary means the Secretary of Labor or persons to whom authority under the Act has been delegated.

(m) Any future statutory amendments that affect the definition of a term or terms listed in this section will apply in lieu of the definition stated herein.

Notes of Decisions

Cited in 13 cases (2 in the last 5 years), 2004–2023 · leading case: Lawson v. Fmr Co., Inc., 670 F.3d 61 (1st Cir. 2012).

Sort: Relevance Newest Treatment

Lawson v. Fmr Co., Inc., 670 F.3d 61 (1st Cir. 2012). · cites it 6× “29 C.F.R. § 1980.101 (2009) (defining "employee" as "an individual presently or formerly working for a company or company representative" and "company representative" as, e.”

Lawson v. FMR LLC, 571 U.S. 429 (2014). · cites it 2× “See 29 CFR § 1980.101 (2009). *456 Congress included in its alterations no language gainsaying that protection.”

Ruben Carnero v. Boston Sci. Corp., 433 F.3d 1 (1st Cir. 2005). “” See 29 C.F.R. § 1980.101 (2005). If BSA and BSB were agents of BSC, as seems quite possible, their own employee would fit this definition of the parent’s “employee.”

Potts v. Ctr. for Excellence in Higher Educ., Inc., 908 F.3d 610 (10th Cir. 2018). “29 C.F.R. § 1980.101 (emphasis added). We are uncertain whether this regulation means to protect former employees whose whistleblowing occurs solely after employment.”

Lawson v. FMR LLC, 724 F. Supp. 2d 141 (D. Mass. 2010). · cites it 2× “” 29 C.F.R. § 1980.101 . In promulgating the regulation, OSHA commented that this definition of “employee” is consistent with Section 806(a) because the statute “protects the employees of publicly traded companies as well as the employees of contractors, subcontractors, and…”

Collins v. Beazer Homes USA, Inc., 334 F. Supp. 2d 1365 (N.D. Ga. 2004). “” 29 C.F.R. § 1980.101 . A "company representative” is defined as "any officer, employee, contractor, subcontractor, or agent of a company.”

Leshinsky v. Telvent GIT, S.A., 873 F. Supp. 2d 582 (S.D.N.Y. 2012). “Under 29 C.F.R. § 1980.101 (2003), an “employee” under section 806 of the Act was defined as “an individual presently or formerly working for a company or company representative, an individual applying to work for a company or company representative, or an individual whose…”

Kshetrapal v. Dish Network, LLC, 90 F. Supp. 3d 108 (S.D.N.Y. 2015). “” 29 C.F.R. § 1980.101 (emphasis added). Similarly, the Administrative Review Board (“ARB”) recently held that an employee’s post-termination whistleblowing can constitute protected activity under SOX.”

Wiest v. Lynch, 15 F. Supp. 3d 543 (E.D. Pa. 2014). “, 29 C.F.R. § 1980.101 (2009; pre-Dodd-Frank) *569 (“Company representative means any officer, employee contractor, subcontractor, or agent of a company.”

Mart v. Gozdecki, Del Giudice, Americus & Farkas LLP, 910 F. Supp. 2d 1085 (N.D. Ill. 2012). “” 29 C.F.R. § 1980.101 . At least one federal district court has relied on the regulatory definition of “employee” to hold that some employees of privately held subsidiaries of publicly traded companies are protected by section 806.”

Katzel v. Am. Int'l Grp., Inc. (S.D.N.Y. 2021). “” Smith, 2007 WL 2120375 , at *2 (citing 29 C.F.R. § 1980.101 ) (“Named person means the employer and/or the company or company representative named in the complaint who is alleged to have violated the act.”

Vuoncino v. Forterra Inc (N.D. Tex. 2023). “” 29 C.F.R. § 1980.101 . A “company representative” is “any officer, employee, contractor, subcontractor, or agent of a company.”

Show all 13 citing cases →

Annotations are extracted automatically from the opinions in the Syfert caselaw corpus and ranked by authority, recency, and treatment. Dots show Syfertize treatment of the citing case itself.