DOJ Corporate Whistleblower Awards Program

In August 2024, the U.S. Department of Justice (DOJ) launched a 3-year pilot Corporate Whistleblower Program to uncover and prosecute corporate wrongdoing. During the 3-year test period, Whistleblowers who submit original information of corporate wrongdoing to the DOJ Whistleblower Program that results in an asset forfeiture may be eligible for a portion of that forfeiture.

The DOJ has long investigated and prosecuted wrongdoing and fraud on the government based on complaints filed by Whistleblowers using the qui tam provision of the False Claims Act, which incentivizes Whistleblowers to report such fraud. In addition, the federal government has established Whistleblower programs at the Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC), and the Department of Treasury (e.g., IRS, FinCEN) and the Department of Transportation’s National Highway Transportation and Safety Administration (NHTSA) to address other kinds of fraudulent conduct in violation of federal law.

These Whistleblower programs do not cover the full scope of wrongdoing that the DOJ investigates and prosecutes. Whistleblowers may have original information of corporate wrongdoing that does not qualify for or is not viable for a case under the False Claims Act or one of the other existing federal whistleblower programs. To overcome this enforcement gap, DOJ acknowledges that it needs to provide a reward to whistleblowers to overcome the risks they may face by coming forward to report what they know about these other kinds of wrongdoing. Otherwise, an individual or company may get away with unlawful conduct.

The DOJ Whistleblower Program helps to fill this gap by incentivizing and rewarding Whistleblowers to come forward with original information of actionable corporate wrongdoing.

DOJ Corporate FAQs

What Types of Wrongdoing Can Be Reported Under the DOJ Whistleblower Program?

The scope of the DOJ Whistleblower Program is narrow and must pertain to one of the following target areas:

Violations by financial institutions and abuse of the financial system not covered by the Financial Crimes Enforcement Network whistleblower program, including obstruction or defrauding of financial regulators, failure to register money transmitting businesses, and fraud against U.S. financial institutions.
Foreign corruption schemes not covered by the Securities and Exchange Commission whistleblower program. This includes schemes related to foreign corruption and bribery involving violations of the money laundering statutes, and violations of the Foreign Corrupt Practices Act and the Foreign Extortion Prevention Act that do not involve issuers.
Domestic corruption schemes committed by or through companies related to the payment of bribes and kickbacks to public officials or employees.
Violations related to:
- federal health care offenses and related crimes involving private or other non-public health care benefit programs, where the overwhelming majority of claims are submitted to private or other non-public health care benefit programs;
- fraud against patients, investors, and other non-governmental entities in the health care industry, where the overwhelming majority of the actual or intended loss was to patients, investors, and other non-governmental entities; and
- any other federal violations involving conduct related to health care not covered by the Federal False Claims Act.

Who Qualifies as an Eligible DOJ Whistleblower?

An Eligible DOJ Whistleblower includes any person (including persons living outside the United States and non-U.S. citizens) who voluntarily provides in writing original truthful and complete information not previously known to the DOJ related to corporate wrongdoing or criminal conduct in the above delineated target areas.

The Whistleblower must be an individual and not a company or another type of entity.
A Whistleblower’s information is provided voluntarily if it is provided to the DOJ:
- before any request for the same information is directed to the Whistleblower or their legal representative by the DOJ in connection with any investigation, by federal law enforcement, or by a civil enforcement agency regarding the same wrongdoing,
- where the Whistleblower has no preexisting agreed obligation in a criminal prosecution or civil enforcement action to report the information to the DOJ or any federal law enforcement or civil enforcement agency, and
- in the absence of any government investigation or threat of imminent disclosure to the government or the public.
Original information is information derived from your independent knowledge (facts known to you that are not derived from publicly available sources) or independent analysis (evaluation of information that may be publicly available, but which reveals an analytical result that is not generally known) that is not already known by the DOJ.
- “Independent knowledge” means factual information in a Whistleblower’s possession that is not derived from publicly available sources. A Whistleblower may gain independent knowledge from their experiences, communications, and observations in their business or social interactions.
- “Independent analysis” means the individual’s own analysis, whether done alone or in combination with others. Analysis means the individual’s examination and evaluation of information that may be publicly available, but which reveals information and important insights that are not generally known or available to the public.
- Original information includes Whistleblower information that is non-public and previously not known to the DOJ, regardless of whether the DOJ already has an open investigation related to the information provided.
- Original information includes Whistleblower information that is derived from their independent knowledge or analysis that materially adds to the information that the DOJ already possesses.
The Whistleblower information is not original if:
- The Whistleblower information was subject to any attorney-client privilege, unless disclosure would be permitted by an attorney pursuant to the crime-fraud or other exceptions under the applicable state attorney conduct rules.
- The Whistleblower information relates to the legal representation of a client on whose behalf the Whistleblower or their employer or firm are providing services.
- The Whistleblower information is contained entirely in an allegation made in a judicial or administrative hearing, in a government report, hearing, audit, or investigation, or in the news media, and the Whistleblower was not a source of the allegations.
- The Whistleblower information was learned because the Whistleblower held certain titles at a company (such as attorney, corporate officer, director, auditor, and compliance officer) and the Whistleblower learned the information from another person or through the entity’s internal reporting systems. These individuals face additional hurdles as potential Whistleblowers and must carefully analyze how they came to learn the information they want to report and any obligations they may have to report that information through other processes.
The Whistleblower information must be truthful and complete, meaning:
- The Whistleblower reports all information they are aware of related to the reported misconduct, including the Whistleblower’s role in the misconduct, if any, and all matters about which the DOJ may inquire.
- Information is not truthful and complete if the Whistleblower is involved in the misconduct, but lies about, conceals, or mischaracterizes their role in the misconduct.
The Whistleblower must cooperate with the DOJ in its investigation of related conduct and criminal or civil actions. This includes, but is not limited to:
- providing truthful and complete testimony and evidence, whether in interviews, before a grand jury, or at any trial or other court proceeding; producing documents, records, and other evidence when called upon by the DOJ; and
- if requested, working in a proactive manner under the supervision of, and in compliance with, United States law enforcement officers and agents.

Are There Any Rules About Which Employees or Insiders Can be a Whistleblower?

Yes. For certain employees or individuals in certain positions in a company, the Whistleblower Program has rules that impose additional requirements before someone may become a Whistleblower.

For a narrow category of individuals, DOJ does not consider their information to be “original” and derived from “independent knowledge” or “independent analysis” due to their status and/or role with the company. This includes anyone who:

held certain titles of the company (such as officer, director, trustee, partner, auditor or compliance officer);
was an employee of the company with compliance or internal audit responsibilities;
was an employee of a firm retained to investigate possible wrongful conduct; or
was an employee of a public accounting firm engaged as an independent public accountant, if they obtained the information about a violation by the client or the client’s insiders or other employees through the engagement.

A Whistleblower who falls into one of these narrow categories may still be eligible to be a Whistleblower, and to receive an award, if they satisfy one of the following:

The Whistleblower reasonably believes that disclosure of the wrongful conduct to the DOJ is necessary to prevent the relevant individual or entity from engaging in criminal conduct that is likely to harm national security, result in crimes of violence, result in imminent harm to patients in connection with health care, or cause imminent financial or physical harm to others;
The Whistleblower reasonably believes that the individual or company is engaging in conduct that will impede an investigation of the misconduct (i.e., destroying documents, improperly influencing witnesses); or
A Whistleblower who is an internal company officer, director, trustee, partner, auditor, compliance officer, or an employee with compliance or internal audit responsibilities, before reporting the wrongdoing to the DOJ waits at least 120 days from:
- when they provided the information to the entity’s audit committee, chief legal officer, chief compliance officer (or their equivalents), or their supervisor, or
- when they received the information, if the Whistleblower received the information under circumstances indicating that the entity’s audit committee, chief legal officer, chief compliance officer (or their equivalents), or their supervisor were already aware of the information.

Am I Required to Report Wrongdoing Internally Before Going to the Government?

It depends. If the Whistleblower is a company officer, director, trustee, partner, auditor, compliance officer, or an employee with compliance or internal audit responsibilities, then there is a requirement to report internally first and to wait 120 days before reporting to the Government. See “Are There Any Restrictions about which Employees or Insiders Can be a Whistleblower?” for more information if this applies to you.

For anyone else, there is no requirement to report internally to the company to receive an award. However, participation in an internal compliance program is a factor considered in determining the appropriate award and may increase the award amount. An experienced Whistleblower Attorney will help a potential Whistleblower to decide whether to report internally first before reporting to the DOJ.

If the Whistleblower elects to report internally, then they must report to the DOJ within 120 days of reporting internally to be eligible for an award.

When the Whistleblower reports the information to the DOJ within 120 days of reporting internally, then:

the DOJ will consider the Whistleblower’s information reported internally to be original information under the DOJ Whistleblower Program (provided it is not already known by the DOJ); and
the DOJ will consider the Whistleblower’s information to be reported to the DOJ on the date it was reported internally and preserve the Whistleblower’s “place in line” in the event another Whistleblower provides the same or related information to the SEC in the interim.

If the Whistleblower’s company self-discloses to the Government the original information or the results of an investigation initiated by the Whistleblower’s internal report, then the Whistleblower may still be eligible for an award as long as the Whistleblower also reported to the DOJ within 120 days of reporting internally.

How Does a Whistleblower Submit Information Under the DOJ Whistleblower Program?

To become eligible for an award, Whistleblowers must provide their original information in writing directly to the DOJ by submitting a completed and signed DOJ Whistleblower Intake Form under penalty of perjury. Whistleblowers do not file a complaint in any court.

The Whistleblower does not have any right to participate as a party in any enforcement action brought by the DOJ against the defendant. If the DOJ decides not to pursue an enforcement action, there is no option or mechanism for the Whistleblower to independently pursue their claims under the DOJ Whistleblower Program.

Whistleblowers can increase the chances that their information will lead to a successful DOJ criminal or civil forfeiture action and an award if they keep three things in mind:

The more specific the information is, the easier it is for the DOJ to follow the lead in opening an investigation or pursuing a new line of inquiry.
The more credible the information is, the more likely it is that the DOJ will pursue it.
The more timely the information, the better able the DOJ is to discover any misconduct and put a stop to it before further damage can be done to markets and innocent participants. Also, by delaying a submission, other sources may cause the DOJ to open an examination or investigation, making the submission ineligible for an award, or reducing any award if found to have unreasonably delayed in reporting your information to the DOJ.

If the Whistleblower provides information that leads to a criminal or civil forfeiture exceeding $1 million in net proceeds from a successful prosecution, corporate criminal resolution, or civil forfeiture action, the Whistleblower can apply for a Whistleblower reward.

What Are the Whistleblower Rewards?

To be eligible for an award, information provided by Whistleblowers must lead to a successful DOJ action resulting in a criminal or civil forfeiture exceeding $1 million in net proceeds. If there is no successful forfeiture, no award will be available. Awards under the DOJ Whistleblower Program are entirely discretionary and not guaranteed. However, the DOJ has stated its intention to incentivize Whistleblowers through monetary awards when there are successful actions.

Awards will be paid from the net proceeds of the total asset(s) forfeited in each case and deposited in the Assets Forfeiture Fund.

If the DOJ finalizes a successful forfeiture, the Whistleblower may be eligible for an award based on the following calculation for the matter:

An award of up to 30% of the first $100 million in net proceeds forfeited (there is a presumption that the DOJ will award a Whistleblower a maximum 30% of the first $10 million in net proceeds forfeited).
An award of up to 5% of any net proceeds forfeited between $100 million and $500 million.
No award on net proceeds forfeited above $500 million.

The DOJ may make awards to multiple Whistleblowers in connection with the same matter. The DOJ will determine an individual percentage award for each whistleblower, but in no event will the total amount awarded to all Whistleblowers in the aggregate in each case be greater than that outlined above.

In determining the award percentage, the DOJ considers factors such as the significance of the Whistleblower’s information and the extent of the Whistleblower’s assistance.

The DOJ will also consider the following factors in determining the amount of an award based on the facts and circumstances of each case:

Factors that may increase the award percentage:
- The significance of the information provided by the Whistleblower.
- The extent of the assistance provided by the Whistleblower.
- Law enforcement priority in deterring certain types of foreign and domestic corruption .
- The extent to which the Whistleblower participated in the company’s internal compliance systems.
Factors that may reduce the award percentage:
- The Whistleblower’s participation in, or culpability for, the violations reported.
- If the Whistleblower unreasonably delayed reporting the violations to the DOJ.
- If the Whistleblower interfered with the company’s internal compliance and reporting systems (i.e., making false statements that hindered the compliance department’s efforts to investigate possible wrongdoing).
- The Whistleblower’s management role over the personnel or offices involved in the misconduct.

A Whistleblower is not eligible for an award under the DOJ Whistleblower Program if the Whistleblower would be eligible for an award through another U.S. government or statutory whistleblower program, such as a qui tam whistleblower award under the False Claims Act or other similar program, if they reported the same information to that other program that they reported under the DOJ Whistleblower Program.

Lastly, the DOJ’s award determination is not appealable or subject to judicial review.

Can I Receive an Award if I Was Involved in the Wrongdoing?

A Whistleblower is not eligible for an award if they meaningfully participated in the misconduct, especially if they orchestrated, executed, led, or knowingly profited from the misconduct or if they were convicted of the misconduct.

However, if the Whistleblower’s minimal role in the misconduct was sufficiently limited that the Whistleblower could be described as “plainly among the least culpable of those involved in the conduct of a group,” they may still be eligible for an award. One factor that is indicative of a minimal role is the Whistleblower’s lack of knowledge or understanding of the scope and structure of the scheme at the time the misconduct was committed. This is a fact-based determination based on the totality of the circumstances.

Any forfeiture ordered against the Whistleblower, or against any entity or asset solely as a result of the misconduct in which the Whistleblower had a role, even a minimal role, will not count toward the $1 million threshold.

How Does a Whistleblower Know to Apply for an Award?

The DOJ will publish notice about all successful forfeitures actions on its Criminal Division Corporate Whistleblower Awards Pilot Program website for all Covered Actions exceeding $1 million in forfeitures. All Whistleblowers who believe they voluntarily submitted original information that resulted in a listed successful DOJ criminal or civil forfeiture action may then apply for a Whistleblower Award in the action. The responsibility to timely apply for an award before the deadline lies solely with the Whistleblower.

How Does a Whistleblower Apply for an Award in an Action?

To apply for an Award, a Whistleblower must timely complete and return a Whistleblower Claim Form to the DOJ’s Corporate Whistleblower Awards Pilot Program by mail, email or fax within 90 days of the date of DOJ’s publication of the Covered Action. A Whistleblower’s award application must explain in detail all factual issues in support of their award eligibility, including when the Whistleblower learned of the wrongful conduct, if there was a delay in reporting, and any involvement in the wrongful activity if applicable.

A Whistleblower may submit original information of a scheme to the DOJ Whistleblower Program and to another agency’s whistleblower program. The Whistleblower must identify on their Intake Form submission other programs to which the Whistleblower provided their information, and must update DOJ if the Whistleblower later reports to another agency’s program after the submission of their Intake Form.

The Whistleblower will not be eligible for an award from the DOJ Whistleblower Program if the Whistleblower would have qualified for an award from another program had they reported the same information to that program.

A Whistleblower might be eligible for a DOJ Whistleblower Award if they reported original information of a scheme that partially falls into another agency’s whistleblower program and partially falls into the program areas covered by this Program. If the Whistleblower reported information that only partially qualifies for payment from another program, the DOJ will assess whether the Whistleblower may be eligible for an award from the DOJ Whistleblower Program.

Can Whistleblowers Remain Anonymous Under the DOJ Whistleblower Program?

The Whistleblower may submit information anonymously through an attorney, but the DOJ may require the Whistleblower to disclose their identity, and the DOJ may, at some point, be required to disclose a Whistleblower’s identity to others. The Whistleblower may submit information anonymously in the following circumstances:

The Whistleblower is represented by an attorney in connection with both the Whistleblower’s submission of information and claim for an award, and the attorney completes the required attorney certification at the time of submission;
The Whistleblower signs under penalty of perjury an Intake Form, which the Whistleblower’s attorney must retain while the Whistleblower’s submission is pending with the DOJ;
The Whistleblower and their attorney must agree to provide the Whistleblower’s identity when the DOJ determines it is required in any investigation or prosecution; and
Before the DOJ will pay any award, the Whistleblower must disclose their identity to be verified by the DOJ.

Regardless of the foregoing, the DOJ reserves the right to demand information regarding a Whistleblower’s identity at any time and the attorney representing that anonymous Whistleblower may be required to disclose that information.

However, the DOJ will not publicly disclose any information, including information the Whistleblower submitted to the DOJ, that could reasonably be expected to reveal the identity of the Whistleblower, except as required by law or DOJ policy. If, in its sole discretion, the DOJ determines that it is necessary to accomplish a valid law enforcement purpose or to protect the public, the DOJ may provide the Whistleblower’s information to another federal, state, local, tribal, or international enforcement agency, provided that such agency complies with the same confidentiality commitments.

A Whistleblower does not need to be represented by an attorney to submit information. However, the Whistleblower may not submit information anonymously without an attorney.

If a Whistleblower Reports Wrongdoing, Is There Any Protection Against Retaliation?

If a Whistleblower experiences retaliation as a result of their report, that information should be provided either in the Whistleblower’s Intake Form submission or in follow up submissions to the DOJ. The DOJ will consider any retaliation in assessing whether a company or individual cooperated with or obstructed the DOJ’s investigation and may, in its sole discretion, decline to award the company any cooperation credit in connection with any corporate resolution and/or institute appropriate enforcement action in response to any retaliation.

What if a Whistleblower Signs an Agreement Containing Confidentiality Provisions?

These kinds of provisions do not prevent a Whistleblower from reporting wrongdoing to the government. If someone is trying to stop a Whistleblower from communicating their information to the DOJ, including by enforcing or threatening to enforce a confidentiality agreement, the Whistleblower should provide that information to the DOJ. The DOJ may take that into account in assessing the target employer’s (or any individual’s) cooperation with the DOJ and remediation of the reported misconduct.

Helpful DOJ Whistleblower Program Information