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Whistleblower Law: A Practitioner's Guide

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Lisa J. Banks, Jason C. Schwartz


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"As a federal government watchdog, I often work with corporate and government insiders with first-hand knowledge of matters vital to the public interest. Whistleblowers are the first and best line of defense against waste, corruption, and other misconduct by the government and its contractors. This book is simply without equal as a comprehensive, non-biased guide to the current landscape of federal and state whistleblower law."

—Danielle Brian, Executive Director Project on Government Oversight


Over the last two decades, state and federal lawmakers have passed a considerable amount of legislation to incentivize and protect whistleblowers in both the private and public sectors. Whistleblowers are increasingly seen as the best source of information about waste, fraud, and abuse in the public sector, and as helping promote accountability, compliance and safety in the private sector. However, whistleblowing continues to raise significant concerns around privacy, security, and confidentiality.

In this volume, you will access an in-depth, balanced overview of whistleblower law and the many issues facing practitioners today.

Topics include:


  • 1.  Major legislation, including the False Claims Act of 1863, the Sarbanes Oxley Act of 2002, and The Dodd-Frank Act
  • 2.  Whistleblower protections in the areas of consumer and investor affairs, nuclear and environmental law, and transportation
  • 3.  Survey of state laws and the District of Columbia
  • 4.  Whistleblower incentive programs, including those from the SEC, CFTC, and IRS
  • 5.  Unique challenges faced by whistleblowing attorneys and compliance officers
  • 6   Employer considerations, including preventative measures, investigations, disclosures, privilege, and settlements.

This online treatise offers both state-by-state coverage of the various laws for those representing whistleblower and employer risk mitigation advice for companies. Updates are included in an annual subscription.  Also available in eBook and Print (looseleaf) formats. 

#00736; looseleaf, one volume, 654 pages; Published March 2016. ISBN:978-1-58852-398-3.


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  • Availability: Available
  • Brand: Law Journal Press
  • Product Type: Books
  • Page Count: 654
  • ISBN: 978-1-58852-398-3
  • Pub#/SKU#: 736
  • Pub Date: 03/30/2016
  • Volume(s): 1

Author Image
  • Lisa J. Banks

Lisa J. Banks is a founding partner of Katz, Marshall & Banks, LLP, in Washington, D.C., where she focuses her practice on employment discrimination and whistleblower claims, as well as contractual employment disputes.  Ms. Banks has successfully represented employees and whistleblowers at both the trial court and appellate levels for almost 20 years, and has served as an arbitrator for the American Arbitration Association (AAA), where she has adjudicated numerous employment and contractual disputes.  Ms. Banks has been consistently ranked as one of Washington’s top lawyers by Washingtonian Magazine, Best Lawyers in America, and D.C. Super Lawyers.




Author Image
  • Jason C. Schwartz

Jason C. Schwartz is a litigation and labor and employment partner in the Washington, D.C. office of Gibson, Dunn & Crutcher LLP and a member of the firm’s Executive Committee.  Schwartz has extensive experience representing defendants in whistleblower litigation under the Sarbanes-Oxley Act, False Claims Act, and other whistleblower protection statutes and in conducting internal investigations of whistleblower allegations.


TABLE OF CONTENTS

CHAPTER 1

False Claims Act: Qui Tam and Retaliation Claims

§ 1.01    Introduction
                [1]    Overview of the False Claims Act
                [2]    History and Amendments
§ 1.02    False Claims Act Liability and Qui Tam Suits
                [1]    Elements and Examples of False Claims Act Claims
                        [a]    Statutory Liability Provisions
                        [b]    “Person” Defined
                        [c]    Knowing Submission
                        [d]    Materiality
                        [e]    False and Fraudulent Claims
                                [i]    Fraudulent Billing in Healthcare
                                [ii]    Off-Label Drug Marketing in the Pharmaceutical Industry
                                [iii]    Fraudulent Billing in National Defense and Homeland Security Contracts
                                [iv]    Mortgage-Related Fraud
                                [v]    Troubled Asset Relief Program Fraud
                [2]    Statutory Bars to Qui Tam Actions
                        [a]    Public Disclosure Bar
                        [b]    Original Source Exception to Public Dis-closure Bar
                        [c]    First-to-File Bar
                [3]    Filing a Qui Tam Claim—The Litigation Process
                        [a]    Jurisdiction and Limitations Period
                        [b]    Filing the Complaint and Disclosure Statement
                        [c]    Government Investigation During the Seal Period
                        [d]    Intervention Decision
                        [e]    Pleading Standard
                [4]    Damages and Penalties
                        [a]    Treble Damages
                        [b]    Calculation of Actual Damages
                        [c]    Penalties
                [5]    Relator’s Share in a Successful Qui Tam
                        [a]    Factors That May Increase a Relator’s Share
                        [b]    Factors That May Decrease a Relator’s Share
                [6]    Settlement/Release of Qui Tam Claims
§ 1.03    FCA Retaliation Claims
                [1]    Prohibited Retaliation and Amendments
                [2]    Prima Facie Case
                        [a]    Protected Activity
                        [b]    Employer Knowledge
                        [c]    Causation
                        [d]    Burden of Proof
                [3]    Limitations Period for FCA Retaliation Claims and Procedural Issues Related to Filing
                [4]    Pleading Standard
                [5]    Remedies
                [6]    Settlement/Release of Section 3730(h) Claims

CHAPTER 2

Sarbanes-Oxley Act of 2002

§ 2.01    Overview
                [1]    Whistleblower Provision: Section 806
                [2]    Dodd-Frank Amendments to SOX
§ 2.02    Covered Employer
                [1]    Publicly Traded Companies
                [2]    Consolidated Subsidiaries
                [3]    Contractors, Subcontractors, and Agents
                        [a]    Retaliation Against Contractors’ Employees
                        [b]    Retaliation Against Employees of Public-ly Traded Companies
                [4]    Individual Liability
§ 2.03    Covered Employee
                [1]    Classification as Employee or Independent Con-tractor
                [2]    Extraterritorial Application of Employee Protections
                [3]    Enforceability of Pre-Dispute Arbitration Agreements with Respect to Covered Employees
§ 2.04    Prima Facie Case
                [1]    Protected Activity
                        [a]    Reasonable Belief
                        [b]    Existing Violation versus Imminent Violation
                        [c]    Fraud on Shareholders versus Violation of an Enumerated Category
                        [d]    Materiality
                        [e]    To Whom (and About Whom) an Employee Must Report
                [2]    Adverse Action
                [3]    Causation
§ 2.05    Litigation Process
                [1]    Filing and Investigation of Complaint
                        [a]    Commencement of Limitations Period
                        [b]    Tolling of Limitations Period
                        [c]    Form of Complaint
                        [d]    Pleading Standard
                        [e]    Burdens of Proof
                [2]    Determination and Review
                [3]    Kick-Out Provision
                [4]    Review of DOL Final Order by Federal Courts of Appeal
                [5]    Jury Trial
§ 2.06    Available Remedies
                [1]    Reinstatement
                [2]    Front Pay in Lieu of Reinstatement
                [3]    Back Pay
                [4]    Attorneys’ Fees
                [5]    Non-Economic and Compensatory Damages
                [6]    Punitive Damages

CHAPTER 3

The Dodd-Frank Wall Street Reform and Consumer Protection Act

§ 3.01    Overview
§ 3.02    Amendments to the Sarbanes-Oxley Act of 2002
§ 3.03    Securities and Exchange Commission Whistleblower Program
§ 3.04    Securities and Exchange Commission Anti-Retaliation Provision
                [1]    Scope of Protection
                        [a]    Whistleblower Status
                                [i]    Reasonable-Belief Standard
                                [ii]    Possible Securities Law Violation Standard
                                [iii]    Manner of Reporting
                        [b]    Extraterritorial Application
                [2]    Prima Facie Case
                        [a]    Protected Activity
                        [b]    Adverse Action
                        [c]    Causation
                [3]    Procedural Requirements
                        [a]    Enforcement: Private Right of Action and SEC Enforcement
                        [b]    Jury Trials
                        [c]    Statute of Limitations
                        [d]    Arbitration
                [4]    Available Remedies
§ 3.05    Commodity Futures Trading Commission Whistleblower Program
§ 3.06    Commodity Futures Trading Commission Anti-Retaliation Provision
§ 3.07    Consumer Financial Protection Act Anti-Retaliation Provision
§ 3.08    Amendments to the False Claims Act

CHAPTER 4

Consumer and Investor Whistleblower Statutes

§ 4.01    Overview
§ 4.02    Consumer Product Safety Act and Consumer Product Safety Improvement Act of 2008
                [1]    CPSIA Anti-Retaliation Provision
                        [a]    Covered Employers and Employees
                        [b]    Protected Activity
                                [i]    Consumer Product Safety Act
                                [ii]    Children’s Gasoline Burn Prevention Act
                                [iii]    Federal Hazardous Substances Act
                                [iv]    Flammable Fabrics Act
                                [v]    Poison Prevention Packaging Act of 1970
                                [vi]    Refrigerator Safety Act
                                [vii]    Virginia Graeme Baker Pool and Spa Safety Act
                [2]    CPSIA Anti-Retaliation Provision Procedures
                        [a]    Statute of Limitations
                        [b]    Burdens of Proof
                        [c]    Reasonable Cause Finding and Preliminary Orders
                        [d]    Review and Removal
§ 4.03    Patient Protection and Affordable Care Act
                [1]    ACA Anti-Retaliation Provision
                        [a]    Covered Employers and Employees
                        [b]    Protected Activity
                                [i]    Receipt of Credits or Subsidies
                                [ii]    Title I Protected Disclosures
                [2]    ACA Anti-Retaliation Provision Procedures
                        [a]    Statute of Limitations
                        [b]    Burdens of Proof
                        [c]    Reasonable Cause Finding and Preliminary Orders
                        [d]    Review and Removal
§ 4.04    Consumer Financial Protection Act of 2010
                [1]    CFPA Anti-Retaliation Provision
                        [a]    Covered Employers and Employees
                        [b]    Protected Activity
                [2]    CFPA Anti-Retaliation Provision Procedures
                        [a]    Statute of Limitations
                        [b]    Burdens of Proof
                        [c]    Reasonable Cause Finding and Preliminary Orders
                        [d]    Review and Removal
§ 4.05    FDA Food Safety Modernization Act
                [1]    FSMA Anti-Retaliation Provision
                        [a]    Covered Employers and Employees
                        [b]    Protected Activity
                [2]    FSMA Anti-Retaliation Provision Procedures
                        [a]    Statute of Limitations
                        [b]    Burdens of Proof
                        [c]    Reasonable Cause Finding and Preliminary Orders
                        [d]    Review and Removal

CHAPTER 5

Nuclear and Environmental Whistleblower Statutes

§ 5.01    OSHA-Administered Nuclear Whistleblower Protections
                [1]    Overview
                        [a]    The Nuclear Power Industry
                        [b]    Atomic Energy Act of 1954
                        [c]    Energy Reorganization Act of 1974
                [2]    Covered Employers and Employees
                [3]    Burden of Proof
                        [a]    Protected Activity
                        [b]    Adverse Actions
                        [c]    Contributing-Factor Standard
                [4]    Respondent’s Affirmative Defense
                [5]    ERA Procedures
                        [a]    Filing a Complaint
                        [b]    Investigation
                        [c]    Findings and Orders
                        [d]    Review and Removal
                [6]    NRC Investigation of Whistleblower Complaints
                [7]    OSHA-Issued Statistics on ERA Complaint De-terminations
§ 5.02    OSHA-Administered Environmental Whistleblower Statutes
                [1]    Overview
                [2]    Burden of Proof
                        [a]    Protected Activity
                        [b]    Adverse Actions
                        [c]    Motivating-Factor Standard
                        [d]    Respondent’s Affirmative Defense
                [3]    Procedures
                        [a]    Filing a Complaint
                        [b]    Investigation
                        [c]    Findings and Orders
                        [d]    Review and Removal
                [4]    Clean Air Act
                [5]    Comprehensive Environmental Response, Compensation and Liability Act of 1980
                [6]    Federal Water Pollution Control Act/Clean Water Act
                [7]    Safe Drinking Water Act of 1974
                [8]    Solid Waste Disposal Act
                [9]    Toxic Substances Control Act
                [10]    Asbestos Hazard Emergency Response Act of 1986
                [11]    Section 11(c) of the Occupational Safety and Health Act of 1970

CHAPTER 6

Transportation Industry Whistleblower Protection

§ 6.01    Overview
§ 6.02    Wendell H. Ford Aviation Investment and Reform Act for the 21st Century (“AIR21”)
                [1]    Overview
                [2]    Covered Employers and Employees
                [3]    Protected Activity
                [4]    Adverse Actions
                [5]    AIR21 Procedures
                        [a]    Filing a Complaint
                        [b]    Deadline for Filing an AIR21 Complaint
                        [c]    Burdens of Proof
                        [d]    Reasonable Cause Finding and Preliminary Orders
                        [e]    Review and Removal
§ 6.03    The Federal Railroad Safety Act of 1970 (“FRSA”)
                [1]    Overview
                [2]    Covered Employers and Employees
                [3]    Protected Activity
                [4]    Adverse Actions
                [5]    Relation to Other Laws and Remedies
                [6]    FRSA Procedures
                        [a]    Filing a Complaint
                        [b]    Deadline for Filing an FRSA Complaint
                        [c]    Burdens of Proof
                        [d]    Reasonable Cause Finding and Preliminary Orders
                        [e]    Review and Removal
§ 6.04    The Surface Transportation Assistance Act of 1982 (“STAA”)
                [1]    Overview
                [2]    Covered Employers and Employees
                [3]    Protected Activity
                [4]    Adverse Actions
                [5]    Relation to Other Laws and Remedies
                [6]    STAA Procedures
                        [a]    Filing a Complaint
                        [b]    Deadline for Filing an STAA Complaint
                        [c]    Burdens of Proof
                        [d]    Reasonable Cause Finding and Preliminary Orders
                        [e]    Review and Removal
§ 6.05    The National Transit Systems Security Act of 2007 (“NTSSA”)
                [1]    Overview
                [2]    Covered Employers and Employees
                [3]    Protected Activity
                [4]    Adverse Actions
                [5]    Relation to Other Laws and Remedies
                [6]    NTSSA Procedures
                        [a]    Filing a Complaint
                        [b]    Deadline for Filing an NTSSA Complaint
                        [c]    Burdens of Proof
                        [d]    Reasonable Cause Finding and Preliminary Orders
                        [e]    Review and Removal
§ 6.06    The Pipeline Safety Improvement Act of 2002 (“PSIA”)
                [1]    Overview
                [2]    Covered Employers and Employees
                [3]    Protected Activity
                [4]    Adverse Actions
                [5]    The PSIA Procedures
                        [a]    Filing a Complaint
                        [b]    Deadline for Filing PSIA Complaint
                        [c]    Burdens of Proof
                        [d]    Reasonable Cause Finding and Preliminary Orders
                        [e]    Review and Removal
§ 6.07    The Seaman’s Protection Act (“SPA”)
                [1]    Overview
                [2]    Covered Employers and Employees
                [3]    Protected Activity
                [4]    Adverse Actions
                [5]    The SPA Procedures
                        [a]    Filing a Complaint
                        [b]    Deadline for Filing an SPA Complaint
                        [c]    Burdens of Proof
                        [d]    Reasonable Cause Finding and Preliminary Orders
                        [e]    Review and Removal
§ 6.08    The International Safe Container Act (“ISCA”)
                [1]    Overview
                [2]    Covered Employers and Employees
                [3]    Protected Activity
                [4]    Adverse Actions
                [5]    The ISCA Procedures
§ 6.09    The Moving Ahead for Progress in the 21st Century Act (“MAP-21”)
                [1]    Overview
                [2]    Covered Employers and Employees
                [3]    Protected Activity
                [4]    Adverse Actions
                [5]    MAP-21 Procedures
                        [a]    Filing a Complaint
                        [b]    Deadline for Filing a MAP-21 Complaint
                        [c]    Burdens of Proof
                        [d]    Reasonable Cause Finding and Preliminary Orders
                        [e]    Review and Removal

CHAPTER 7

Other Federal Whistleblower Protection Statutes

§ 7.01    Overview
§ 7.02    Whistleblower Protection Act of 1989
                [1]    Overview
                [2]    Covered Employers and Employees
                [3]    Protected Disclosures
                [4]    Covered Personnel Action
                [5]    WPA Procedures
                        [a]    Direct Appeal to the MSPB
                        [b]    Office of Special Counsel
                        [c]    Individual Right of Action
                        [d]    Burdens of Proof
                        [e]    Corrective Action
                        [f]    Review and Removal
§ 7.03    Defense Contractor Whistleblower Protection Act
                [1]    Overview
                [2]    Covered Employers and Employees
                [3]    Protected Activity
                [4]    Adverse Actions
                [5]    Relation to Other Laws and Remedies
                [6]    Procedures
                        [a]    Filing a Complaint
                        [b]    Deadline for Filing a Complaint
                        [c]    Investigation and Remedies
                        [d]    Burdens of Proof
                        [e]    Review and Removal
§ 7.04    Government Contractor and Subcontractor Pilot Pro-gram
                [1]    Overview
                [2]    Covered Employers and Employees
                [3]    Protected Activity
                [4]    Adverse Actions
                [5]    Relation to Other Laws and Remedies
                [6]    Pilot Program Procedures
                        [a]    Filing a Complaint
                        [b]    Deadline for Filing a Complaint
                        [c]    Investigation and Remedies
                        [d]    Burdens of Proof
                        [e]    Review and Removal
§ 7.05    American Recovery and Reinvestment Act of 2009
                [1]    Overview
                [2]    Covered Employers and Employees
                [3]    Protected Activity
                [4]    Adverse Actions
                [5]    Relation to Other Laws and Remedies
                [6]    ARRA Procedures
                        [a]    Filing a Complaint
                        [b]    Deadline for Filing a Complaint
                        [c]    Investigation and Remedies
                        [d]    Burdens of Proof
                        [e]    Review and Removal
§ 7.06    Additional Whistleblower Protections for Federal Government Employees and Contractors
                [1]    Overview
                [2]    FBI Whistleblower Protections
                [3]    Department of Energy Whistleblower Protections
                [4]    Intelligence Community Whistleblower Protection Act of 1998
                [5]    Major Fraud Act of 1988
                [6]    Other Statutes
§ 7.07    Whistleblower Protections for Military Service Members and Employees
                [1]    Military Whistleblower Protection Act of 1988
                [2]    Nonappropriated Fund Instrumentality Employees of the Armed Forces
§ 7.08    Whistleblower Protections in the Financial Sector
                [1]    Federal Credit Union Act
                [2]    Financial Institutions Reform, Recovery, and En-orcement Act of 1989
                [3]    Annunzio-Wylie Anti-Money Laundering Act
§ 7.09    Industry-Specific Whistleblower Protections
                [1]    Overview
                [2]    Migrant and Seasonal Agricultural Worker Protection Act
                [3]    Federal Mine Safety and Health Act of 1977
                [4]    Surface Mining Control and Reclamation Act of 1977
                [5]    Emergency Medical Treatment and Active Labor Act
                [6]    Other Statutes

CHAPTER 8

Survey of State Whistleblower Statutes

§ 8.01    Overview
§ 8.02    Alabama
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.03    Alaska
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.04    Arizona
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.05    Arkansas
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.06    California
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.07    Colorado
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.08    Connecticut
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.09    Delaware
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.10    District of Columbia
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.11    Florida
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.12    Georgia
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.13    Hawaii
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.14    Idaho
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.15    Illinois
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.16    Indiana
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.17    Iowa
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.18 Kansas
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.19    Kentucky
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.20    Louisiana
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.21    Maine
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.22    Maryland
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.23    Massachusetts
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.24    Michigan
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.25    Minnesota
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.26    Mississippi
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.27    Missouri
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.28    Montana
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.29    Nebraska
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.30    Nevada
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.31    New Hampshire
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.32    New Jersey
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.33    New Mexico
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.34    New York
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.35    North Carolina
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.36    North Dakota
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.37    Ohio
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.38    Oklahoma
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.39    Oregon
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.40    Pennsylvania
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.41    Rhode Island
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.42    South Carolina
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.43    South Dakota
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.44    Tennessee
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.45    Texas
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.46    Utah
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.47    Vermont
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.48    Virginia
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.49    Washington
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.50    West Virginia
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.51    Wisconsin
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination
§ 8.52    Wyoming
                [1]    Statutory Whistleblower Protections
                [2]    Wrongful Termination

CHAPTER 9

SEC Whistleblower Incentive Program

§ 9.01    Overview
§ 9.02    Whistleblower Status
                [1]    Eligible Individual
                        [a]    Definition of Whistleblower
                        [b]    Excluded Individuals
                                [i]    Absolute Exclusions
                                [ii]    Qualified Exclusions
                                [iii]    Exceptions to Qualified Exclusions
                [2]    Voluntariness Requirement
                [3]    Original Information
                [4]    Independent Knowledge and Analysis
                        [a]    Definition
                        [b]    Excluded Information
                                [i]    In General
                                [ii]    Attorney-Client Privilege
                [5]    Procedure for Submitting Information
                [6]    Confidentiality and Anonymity
§ 9.03    Covered Actions
                [1]    Successful Enforcement Action
                [2]    Calculation of Proceeds
§ 9.04    Award
                [1]    Amount of Award
                        [a]    Factors that May Increase an Award
                        [b]    Factors that May Decrease an Award
                [2]    Procedure for Claiming Award
                        [a]    Initiating a Claim
                        [b]    Review of Claim for Award
                [3]    Preliminary Determination
                [4]    Reconsideration of Determination
                [5]    Final Order
§ 9.05    Rules to Support Internal Compliance Programs
§ 9.06    Developments
                [1]    Agency Interpretations and Actions
                        [a]    Enforcing Anti-Retaliation Provisions
                        [b]    Deterring Actions that Impede Whistle-blowers
                [2]    Claims and Award Statistics

CHAPTER 10

IRS Whistleblower Incentive Program

§ 10.01    Overview
§ 10.02    Whistleblower Status
                [1]    Eligible Individual
                        [a]    Definition of Whistleblower
                        [b]    Excluded Individuals
                [2]    Voluntariness Requirement
                [3]    Submitting Specific and Credible Information
                [4]    Confidentiality and Anonymity
§ 10.03    Covered Administrative or Judicial Action
                [1]    Successful Enforcement Action
                [2]    Calculation of Proceeds
                        [a]    Collected Proceeds
                        [b]    Amount in Dispute
§ 10.04    Award
                [1]    Amount of Award
                        [a]    Awards for Substantial Contribution (Be-tween 15% and 30%)
                                [i]    Factors that May Increase an Award
                                [ii]    Factors that May Decrease an Award
                        [b]    Awards for Less Substantial Contribution (Capped at 10%)
                        [c]    Reduction of Award
                        [d]    Denial of Award
                        [e]    Multiple Whistleblowers
                        [f]    Joint Whistleblowers
                [2]    Procedure for Claiming an Award
                        [a]    Initiating a Claim
                        [b]    Whistleblower Administrative Proceedings
                                [i]    Rejections and Denials
                                [ii]    Preliminary Award Recommendation
                                        [A]    Preliminary Computation
                                        [B]    Detailed Award Report
                                        [C]    Contents of Administrative Claim File
                [3]    Determination Letter
                [4]    Appeal
                [5]    Administrative Timeframes
                [6]    Timing of Payment of Award
§ 10.05    Developments

CHAPTER 11

CFTC Whistleblower Incentive Program

§ 11.01    Overview
§ 11.02    Whistleblower Status
                [1]    Eligible Individual
                        [a]    Definition of Whistleblower
                        [b]    Excluded Individuals
                [2]    Voluntarily Provided
                [3]    Original Information
                [4]    Original Source
                [5]    Independent Knowledge and Analysis
                        [a]    Definition
                        [b]    Excluded Information
                [6]    Procedure for Submitting Information
                [7]    Confidentiality and Anonymity
§ 11.03    Covered Administrative or Judicial Action
§ 11.04    Award
                [1]    Amount of Award
                        [a]    Factors that May Increase an Award
                                [i]    Significance of the Information
                                [ii]    Assistance Provided
                                [iii]    Law Enforcement Interest
                                [iv]    Participation in Internal Compliance Systems
                        [b]    Factors that May Decrease an Award
                                [i]    Culpability
                                [ii]    Unreasonable Reporting Delay
                                [iii]    Interference with Internal Compliance and Reporting Systems
                        [c]    Multiple Whistleblowers
                [2]    Procedure for Claiming an Award
                [3]    Timing of Payment
§ 11.05    Developments

CHAPTER 12

Purloined Documents

§ 12.01    Overview
§ 12.02    Document Acquisition and Dissemination as Protected Activity
§ 12.03    Balancing Test in Title VII and Discrimination Claims
§ 12.04    Evidence Gathering as Protected Activity by Whistle-blowers
                [1]    False Claims Act
                [2]    Sarbanes-Oxley Act Retaliation
                [3]    Dodd-Frank Whistleblower Protections
§ 12.05    Employer Responses to Document Acquisition and Dissemination by Employees
                [1]    After-Acquired Evidence
                [2]    Breach of Contract
                [3]    Breach of Fiduciary Duty
§ 12.06    Retaliatory Counterclaims
§ 12.07    Potential Criminal Liability
§ 12.08    Ethical Issues for Attorneys

CHAPTER 13

Attorneys and Compliance Personnel as Whistleblowers

§ 13.01    Overview
§ 13.02    Ethical Obligations of Attorney/Whistleblowers
§ 13.03    Sarbanes-Oxley Act and the Dodd-Frank Act
                [1]    Attorney Disclosures
                [2]    Retaliation
                        [a]    Attorneys
                        [b]    Compliance Personnel
§ 13.04    False Claims Act
§ 13.05    Eligibility for Whistleblower Awards
                [1]    Attorneys
                [2]    Compliance Personnel   
§ 13.06    Attorneys as Qui Tam Relators
§ 13.07    Responding to a Claim: Employer Defenses
                [1]    Pretrial and Extrajudicial Measures
                [2]    Substantive Defenses

CHAPTER 14

Employer Considerations

§ 14.01    Overview
                [1]    Importance of the Issue
                [2]    The “Two-Track” Approach
§ 14.02    Compliance Strategies and Preventative Measures
                [1]    Encouraging Internal Whistleblowing
                        [a]    Management Buy-in
                        [b]    Employee Assurance
                        [c]    Robust Investigations
                [2]    Effective Complaint Policies and Legal Requirements
                [3]    Education and Training
§ 14.03    Internal Investigation of the Complaint
                [1]    The Duty to Investigate
                [2]    Initiating the Investigation
                [3]    Issuing a Document Hold Notice
                [4]    Defining the Scope of the Investigation
                [5]    Collecting Relevant Documents
                [6]    Interviewing Witnesses
                [7]    Oversight of the Investigation
                [8]    Reporting the Results of the Investigation
§ 14.04    Protecting Privilege
                [1]    The Extent of Privilege
                [2]    Challenges to Privilege
                        [a]    Whistleblower Was a Party to Privileged Communications
                        [b]    Attorneys as Whistleblowers
                [3]    Confidentiality Agreements
                [4]    Limiting Disclosures to Employees During Internal Investigations
§ 14.05    Compelled and Voluntary Disclosure
                [1]    Mandatory Disclosure Provisions
                [2]    Agency Leniency Programs
§ 14.06    Interactions with the Whistleblower
                [1]    Avoiding the Appearance of Retaliation
                [2]    Disciplining a Whistleblower for Other Misconduct
§ 14.07    Public Relations Considerations
                [1]    Pre-Planning
                [2]    Managing the Response
§ 14.08    Settlements
                [1]    Assessing the Risk
                        [a]    Internal Investigation Results
                        [b]    Whistleblower Involvement in the Alleged Misconduct
                        [c]    The Truth or Falsity of the Allegation
                        [d]    Potential Type of Claim
                        [e]    Forum and Relief Available
                        [f]    Likelihood of an Adverse Ruling
                        [g]    Range of Potential Damages and Other Adverse Effects
                [2]    Confidentiality of Settlement Agreements
                [3]    Labor Department Review of Settlement Agreements

INDEX