HSE University Anti-Corruption Portal
US Expanded List of Violations Disclosure of Which Can Be Rewarded

The Criminal Division (hereinafter, the Division) of the Department of Justice of the United States (DOJ) has launched a new pilot programme providing for awards for whistleblowers who disclose information on important corporate or financial violations.

The development of the programme was announced in parallel with the launch of the programme for exempting whistleblowers from liability as a next step to encourage disclosure of information by natural persons.

The pilot phase of the programme implemented by the Money Laundering and Asset Recovery Section of the Division spans three years. Throughout this period, the programme can be amended by decision of the DOJ. Upon conclusion of the pilot period the authority will decide whether it makes sense to extend the programme or not.

Requirements to reports

For the purposes of the programme, reporting means disclosure, to law enforcement in writing, of previously unknown, truthful and complete information about important corporate or financial crimes that becomes known to a whistleblower based on his/her experience, expertise and knowledge, substantially complements the data already available, is made voluntarily, i.e. in the absence of any investigation, obligation to disclose the information under other agreements and/or a threat of imminent disclosure to authorities and/or the general public.

An award is paid only if the information disclosed by the whistleblower leads to criminal or civil forfeiture exceeding USD 1 million in net proceeds forfeited in connection with a successful prosecution or civil forfeiture action.

Requirements to whistleblowers

A whistleblower can only be a natural person, including the one who has already reported an offence through internal reporting channels of a body (organisation) where he/she holds a position.

At the same time, the programme does not cover the disclosures made by:

  • A servant (employee) or a counterpart of the US DOJ or another law enforcement agency, as well as by a spouse, parent, child, sibling of the servant or a person living in the same household with him/her;
  • A foreign official;
  • An individual who obtains information from the above-mentioned persons.

Furthermore, a potential participant of the programme should not:

  • Apply for an award in the framework of other public programmes encouraging whistleblowing;
  • Be meaningfully engaged in the offence disclosed, including its planning and initiating, as well as knowingly benefitting from it.

A tip can be filed by a whistleblower anonymously provided that he/she is represented by a lawyer. However, if the decision on paying an award is made, the identity of the whistleblower should be disclosed to the US DOJ.

Scope of application

The programme is applicable to the disclosure of such offences as:

  • Active bribery of public officials committed inside the country by public and/or private companies or through them;
  • Offences related to corruption and bribery abroad committed by public or private companies, through them or with the assistance of the persons associated with them, including failures to comply with the provisions of the Foreign Corrupt Practices Act (FCPA), Foreign Extortion Prevention Act (FEPA), and money laundering laws;
  • Offences committed by financial institutions, their insiders and/or agents, including the use of schemes related to money laundering, failures to comply with the requirements against money laundering, fraud and registration of money transfer companies;
  • Offences associated with:
  1. Federal crimes in health care and related crimes concerning private and/or other non-state programmes of medical insurance;
  2. Fraud against patients, investors, and non-governmental organisations in health care;
  3. Other crimes in heath care not falling under the Federal False Claims Act (FCA).

Amount of awards

Depending on the amount of the assets forfeited, the whistleblower can be entitled to:

  • An award of up to 30% of the first USD 100 million in net proceeds forfeited;
  • An award of up to 5% of any net proceeds forfeited from USD 100 million up to USD 500 million.

An award is not paid for the part of the assets exceeding USD 500 million.

The amount of awards also depends on such factors as:

  • The character and scope of cooperation with the investigation, including the provision of testimony during interrogations, documents, records and other evidence requested by the US DOJ;
  • Relevance of the information reported by the whistleblower for the progress of investigation and/or prosecution;
  • Any challenges encountered by the whistleblower in relation to the disclosure of the offence and subsequent support to the investigation;
  • The fact of initial disclosure of the offence through the internal channels of the body (organisation);
  • Involvement of the whistleblower in the offence disclosed;
  • Unjustified delays in making the disclosure;
  • Interference in internal control systems and reporting to conceal the offence;
  • The fact that the offender is a subordinate of the whistleblower.

The decision on whether a whistleblower is entitled to get an award and the amount thereof rests with the US DOJ individually in each case and is not subject to appeal.


In parallel with the launch of the whistleblower awards programme the US DOJ announced temporary amendments to the Corporate Enforcement and Voluntary Self-Disclosure Policy that provide for the possibility not to initiate criminal proceedings if a company the offences of which have been disclosed by a whistleblower self-reports within 120 days from the disclosure of the information through the internal channels and before the US DOJ contacts it with regard to the tip made by the whistleblower.

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Corruption whistleblowers

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