Employees of Contractors, Subcontractors, Grantee, Subgrantees, or Personal Service Contractors: How to File Whistleblower Reprisal Complaint

Employees of Contractors, Subcontractors, Grantees, Subgrantees,

or Personal Services Contractors

How to File a Whistleblower Reprisal Complaint

Employees of DoD contractors, subcontractors, grantees, subgrantees, or personal services

contractors who believe they have been discharged, demoted, or otherwise discriminated

against in reprisal for disclosing certain information may file a whistleblower reprisal complaint

under section 4701 of title 10 United States Code (10 U.S.C. § 4701), “Protected

communications; prohibition of retaliatory personnel actions.” However, the provisions of 10

U.S.C. § 4701 do not apply to an employee of a contractor, subcontractor, grantee, subgrantee,

or personal services contractor of an element of the intelligence community whose disclosure

relates to an element of the intelligence community or was discovered while providing services

to the intelligence community.

Employees of DoD contractors, subcontractors, grantees, subgrantees, or personal services

contractors who allege a retaliatory action affecting eligibility for access to classified

information may file a complaint under Presidential Policy Directive 19 (PPD-19).

If you believe you have experienced reprisal in violation of 10 U.S.C § 4701 or PPD-19 read on

for more information about how to file a complaint with the DoD Hotline.

Instructions

The online complaint form on the DoD Hotline website at

https://www.dodig.mil/Components/Administrative-Investigations/DoD-Hotline/Hotline-

Complaint/ is a secure method of filing a complaint. Alternatively, you may download the PDF

form and send the information requested in Part 2, “Complaint Details” to: DoD Hotline, The

Pentagon, Washington, DC 20301-1900; or fax to: 703-604-8567, DSN 664-8567.

For classified complaints up to SECRET, you can file on SIPR at

http://www.dodig.smil.mil/hotline. For TOP SECRET complaints, file via the Joint Worldwide

Intelligence Communications System (JWICS) at http://www.dodig.ic.gov/hotline/index.html.

If you have any questions, please call the DoD Hotline at 1-800-424-9098.

Information You’ll Need For Filing a Complaint

• Provide your full name, job title, status as an employee or former employee, company and

location, work and residence telephone numbers, and mailing and e-mail addresses.

• Be prepared to provide a copy of the protected disclosure (if written) and any reply you

received about the matter. If a copy of the disclosure is not available, please provide the

following information:

o The date of the disclosure.

o Identify the official to whom the disclosure was made by including the official’s

name, title, organization and location, and telephone number.

o The content of the disclosure.

o Whether the matter was investigated, when, and by whom.

• Identify each action taken (for example, demotion, discharge, or other discrimination). If

you are filing a PPD-19 complaint, identify each action affecting your eligibility for access

to classified information.

• Be prepared to provide documentation for each action or action affecting eligibility. If

documentation is not available, please describe the action and the give date of the

action.

• Indicate why you believe there is a connection between your protected disclosure and the

action taken against you.

• Provide the full name, title, company and location, and telephone numbers of the company

officials responsible for recommending or taking the action at issue.

• Explain why and how any responsible official knew of the protected disclosure before

taking the personnel action.

• Identify key witnesses that can provide evidence to support your reprisal complaint and

include their contact information.

• If more than three years have elapsed since a personnel action was taken or withheld,

please explain why the complaint was not filed sooner.

• If you previously filed this reprisal complaint with another agency, be prepared to provide a

copy of the complaint and any reply. If the documents are not available, please provide

details such as the agency, contract number, and date filed.

Glossary

The following terms and descriptions may be helpful as you file a whistleblower reprisal

complaint:

Term Description Related to

Abuse of Authority

• An arbitrary and capricious exercise of authority

that is inconsistent with the mission of the DoD or

the successful performance of a Department

contract or grant ,

• an arbitrary and capricious exercise of authority

that is inconsistent with the mission of the

National Aeronautics and Space Administration or

the successful performance of an Administration

contract or grant.

10 U.S.C. § 4701

Term Description Related to

Agency

The DoD, the Department of the Army, the

Department of the Navy, the Department of the Air

Force, the Coast Guard, and the National Aeronautics

and Space Administration.

10 U.S.C. § 4701

Authorized

Recipient

•

A Member of Congress or a representative of a

committee of Congress;

• an Inspector General;

• the Government Accountability Office;

• an employee of the DoD responsible for contract

oversight or management;

• an authorized official of the Department of

Justice or other law enforcement agency;

• a court or grand jury; and

• a management official or other employee of the

contractor or subcontractor who has the

responsibility to investigate, discover, or address

misconduct.

10 U.S.C. § 4701

Contract

A contract awarded by the head of an agency.

10 U.S.C. § 4701

Contractor

A person awarded a contract with an agency.

10 U.S.C. § 4701

Eligibility for

Access to Classified

Information

The result of the determination whether an

employee (a) is eligible for access to classified

information in accordance with Executive Order

12968 (relating to access to classified information),

or any successor thereto, and Executive Order 10865

of February 20, 1960, as amended (relating to

safeguarding classified information with industry), or

any successor thereto; and (b) possesses a need to

know under such orders.

PPD-19

Grant

A legal instrument used to enter into a relationship:

(a) of which the principal purpose is to transfer a thing

of value to the recipient to carry out a public purpose

of support or stimulation authorized by a law of the

United States, rather than to acquire property or

services for the DoD’s direct benefit or use; (b) in which

substantial involvement is not expected between the

10 U.S.C. § 4701

Term Description Related to

DoD and the recipient when carrying out the activity

contemplated by the grant.

Grantee

A person awarded a grant with an agency.

10 U.S.C. § 4701

Inspector General

An inspector general appointed under the Inspector

General Act of 1978, as amended, and any Inspector

General that receives funding from or has oversight

over contracts awarded for or on behalf of, the

Secretary of Defense.

10 U.S.C. § 4701

Investigation of

Complaints

A Department of Defense (DoD) contractor,

subcontractor, grantee, subgrantee, or personal

services contractor employee who believes that he or

she has been subjected to a reprisal prohibited by

10 U.S.C. § 4701 may submit a complaint to the DoD

Office of Inspector General. Unless the IG determines

that the complaint is frivolous or untimely, fails to

allege a violation of the prohibition in subsection (a) of

the statute, or has previously been addressed in

another Federal or State judicial or administrative

proceeding initiated by the Complainant, the IG shall

investigate the complaint. Upon completion of such

investigation, submit a report of findings of the

investigation to the person who filed the complaint;

the contractor concerned; and the head of the agency.

10 U.S.C. § 4701

Personal Services

Contract

A contract that, by its express te rms or as

administered, makes the contractor personnel appear

to be, in effect, government employees.

10 U.S.C. § 4701

Qualifying Action

A discharge, demotion, or other discriminatory

action with respect to any employee of a DoD

contractor, subcontractor, grantee, subgrantee, or

personal services contractor as a reprisal.

10 U.S.C. § 4701

Protected

Disclosure

A communication to an authorized recipient, of

information that the employee reasonably believes

is evidence of:

• gross mismanagement of a DoD contract or

grant;

10 U.S.C. § 4701

Term Description Related to

•

a gross waste of DoD funds;

• an abuse of authority relating to a DoD contract

or grant;

• a violation of law, rule, or regulation related to a

DoD contract (including the competition for or

negotiation of a contract) or grant; or

• a substantial and specific danger to public health

or safety.

Protected disclosures also include providing

evidence of contractor or subcontractor misconduct

in any judicial or administrative proceeding relating

to waste, fraud, or abuse on a DoD contract or grant.

Authorized recipients of such information are:

• a Member of Congress or a representative of a

committee of Congress;

• an Inspector General;

• the Government Accountability Office;

• an employee of the DoD responsible for contract

oversight or management;

• an authorized official of the Department of

Justice or other law enforcement agency;

• a court or grand jury; and

• a management official or other employee of the

contractor or subcontractor who has the

responsibility to investigate, discover, or address

misconduct.

Protected

Disclosure

•

A disclosure of information by the employee to a

supervisor in the employee’s direct chain of

command up to and including the head of the

employing agency, to the Inspector General of

the employing agency or Intelligence Community

Element, to the Director of National Intelligence,

to the Inspector General of the Intelligence

Community, or to an employee designated by

any of the above officials for the purpose of

receiving such disclosures, that the employee

reasonably believes evidences (i) a violation of

any law, rule, or regulation; or (ii) gross

mismanagement, a gross waste of funds, an

PPD-19

Term Description Related to

abuse of authority, or a substantial and specific

danger to public health or safety;

• Any communication described by and that

complies with subsection (a)(1), (d), or (h) of

section 8H of the Inspector General Act of 1978

(5 U.S.C. App.); subsection (d)(5)(A) of section 17

of the Central Intelligence Agency Act of 1949 (50

U.S.C. 403q); or subsection (k)(5)(A), (D), or (G),

of section 103H of the National Security Act of

1947 (50 U.S.C. 403-3h);

• The exercise of any appeal, complaint, or

grievance with regard to the violation of Section

A or B of PPD-19 that does not disclose classified

information or other information contrary to law;

• Lawfully participating in an investigation or

proceeding regarding a violation of Section A or B

of PPD-19 that does not disclose classified

information or other information contrary to law;

• Cooperating with or disclosing information to an

Inspector General, in accordance with applicable

provisions of law in connection with an audit,

inspection, or investigation conducted by the

Inspector General that does not disclose

classified information or other information

contrary to law.

Subcontract

The term “subcontract” means a contract or

contractual action entered into by a subcontractor for

the purpose of obtaining supplies, materials,

equipment, or services of any kind under a prime

contract.

10 U.S.C. § 4701

Subcontractor

The term “subcontractor” means any supplier,

distributor, vendor, or firm that furnishes supplies or

services to or for a prime contractor or another

subcontractor.

10 U.S.C. § 4701

Subgrant A subgrant is an award of financial assistance in the

form of money, or property in lieu of money, made

under a grant by a grantee to an eligible subgrantee.

10 U.S.C. § 4701

Term Description Related to

The term includes financial assistance when provided

by contractual legal agreement, but does not include

procurement purchases, nor does it include any form

of assistance which is excluded from the definition of

grant in this part.

Subgrantee

The term “subgrantee” means the government or

other legal entity to which a subgrant is awarded and

which is accountable to the grantee for the use of the

funds provided.

10 U.S.C. § 4701