49 CFR Part 513 — Whistleblower Program

PART 513—WHISTLEBLOWER PROGRAM Authority: 49 U.S.C. 322 and 49 U.S.C. 30172; delegation of authority at 49 CFR 1.95. Source: 89 FR 101972, Dec. 17, 2024, unless otherwise noted. § 513.1 General. This part 513 describes the whistleblower program established by the Agency to implement the Motor Vehicle Safety Whistleblower Act, 49 U.S.C. 30172, explains procedures that a potential whistleblower must follow to be eligible for an award, and the circumstances under which information that may reasonably be expected to reveal the identity of a whistleblower may be disclosed by the National Highway Traffic Safety Administration (NHTSA). Potential whistleblowers should read these procedures carefully because failure to take required steps in a timely fashion in conformance with these rules may result in disqualification from receiving an award. Questions about the whistleblower program or these rules should be directed to the NHTSA Office of the Chief Counsel at NHTSAWhistleblower@dot.gov § 513.2 Definitions. (a) Statutory definitions. (b) Other terms. Administrative action. Agency. Collected monetary sanctions. Contractor. Covered action. Dealership. Employee. Independent knowledge or analysis. (i) Solely through a communication that was subject to the attorney-client privilege or work product doctrine; or (ii) By a means or in a manner that has been determined by a United States federal court or state court to violate applicable federal or state criminal law. Motor vehicle defect. Noncompliance. Original information. (i) Is derived from the independent knowledge or analysis of an individual; (ii) Is not known to the Secretary or Agency from any other source, unless the individual is the original source of the information; (iii) Is not exclusively derived from an allegation made in a judicial or an administrative action, in a governmental report, a hearing, an audit, or an investigation, or from the news media, unless the individual is a source of the information; and (iv) Is provided to the Agency for the first time after December 4, 2015. Original information that leads to a successful resolution. (i) The potential whistleblower gave the Agency original information that was sufficiently specific, credible and timely to cause the Agency to open an investigation, reopen an investigation that the Agency had closed, continue an investigation the Agency would not have continued but for the information, or to inquire concerning a different potential violation of Chapter 301, or a regulation thereunder, as part of a current investigation, and the U.S. Department of Transportation, Agency, or U.S Department of Justice brought a successful judicial or administrative action based in whole or in part on conduct that was the subject of the potential whistleblower's original information; or (ii) The potential whistleblower gave the Agency original information about conduct that was already under investigation by the Agency and the potential whistleblower's information significantly contributed to the success of the covered action and the U.S. Department of Transportation, Agency, or U.S. Department of Justice brought a judicial or administrative action that achieves a successful resolution based in whole or in part on conduct that was the subject of the potential whistleblower's original information. Part supplier. Potential whistleblower. Related administrative or judicial action. Secretary. Successful resolution. Whistleblower. § 513.3 Representation. A whistleblower or potential whistleblower may be represented by a legal representative. § 513.4 Procedures for submitting original information. (a) A potential whistleblower's submission must be made by completing a WB-INFO form and submitting it to the Office of the Chief Counsel, National Highway Traffic Safety Administration, by email to NHTSAWhistleblower@dot.gov (b) By completing the WB-INFO form, the potential whistleblower must declare under penalty of perjury at the time the whistleblower submits information pursuant to paragraph (a) of this section that the information is true and correct to the best of the potential whistleblower's knowledge and belief. (c) A potential whistleblower may provide original information to the Agency anonymously through use of a legal representative. The legal representative must submit the information on behalf of the potential whistleblower pursuant to the procedures specified in paragraph (a) of this section. Prior to the legal representative's submission, the potential whistleblower must provide the legal representative with a completed WB-INFO form that the potential whistleblower has signed under the penalty of perjury. When the legal representative makes the submission on behalf of the potential whistleblower, the legal representative must certify that the legal representative: (1) Has verified the potential whistleblower's identity; (2) Has verified that the potential whistleblower is an employee or contractor of a motor vehicle manufacturer, part supplier, or dealership; (3) Has reviewed the potential whistleblower's signed WB-INFO form for accuracy and that the information contained therein is true and correct to the best of the legal representative's knowledge, information and belief; and (4) Has obtained the potential whistleblower's non-waivable consent to provide the Agency with the original WB-INFO form for the potential whistleblower in the event that the Agency requests it. (d) If a potential whistleblower submitted original information to the Agency after December 4, 2015 but before January 16, 2025, the submission will be deemed to satisfy the requirements set forth in paragraphs (a) and (b) of this section. § 513.5 Confidentiality. (a) In general. (1) Disclosure is required to a defendant or respondent in connection with a public proceeding instituted by the Secretary, the Agency, or any entity described in paragraph (c); (2) The whistleblower provides prior written consent for the information to be disclosed; or (3) The Secretary, or other officer or employee of the U.S. Department of Transportation, receives the information through another source, such as during an inspection or investigation under 49 U.S.C. 30166, and has the authority under other law to release the information. (b) Use by Attorney General. (c) Availability to Federal Government agencies. (d) Redaction. (e) Section 552(b)(3)(B). (f) The whistleblower. § 513.6 Prerequisites to the consideration of an award. (a) Subject to the eligibility requirements described in this part, NHTSA may, but is not required to, authorize payment of an award to one or more persons who: (1) Provide a voluntary submission to the Agency; (2) Provide in that submission original information relating to any potential motor vehicle defect, potential noncompliance, or any violation or alleged violation of any notification or reporting requirement of 49 U.S.C. Chapter 301 or a regulation thereunder, which is likely to cause unreasonable risk of death or serious physical injury; and (3) The original information provided in that submission leads to the successful resolution of a covered action. (b) To be eligible, the person must have given the Agency original information in the form and manner that the Agency requires in § 513.4. The Agency may, for good cause, waive this requirement. § 513.7 Whistleblowers ineligible for an award. No award under § 513.10 shall be made: (a) If the amount of monetary sanctions collected in a covered action does not exceed $1,000,000; (b) To any whistleblower who is convicted of a criminal violation by a United States federal or state court related to the covered action for which the whistleblower otherwise could receive an award under this part; (c) To any whistleblower who, acting without direction from an applicable motor vehicle manufacturer, part supplier, or dealership, or agent thereof, deliberately causes or substantially contributes to the alleged violation of a requirement of 49 U.S.C. Chapter 301 or a regulation thereunder; (d) To any whistleblower who submits information to the Agency that is based on the facts underlying the covered action submitted previously by another whistleblower; (e) To any whistleblower who fails to provide the original information to the Agency in the form required by § 513.4 without good cause shown; (f) To any whistleblower who knowingly and intentionally makes any false, fictitious, or fraudulent statement or representation, or who makes or uses any false writing or document knowing the same to contain any false, fictitious, or fraudulent statement or entry; or (g) If the applicable motor vehicle manufacturer, parts supplier, or dealership has an internal reporting mechanism in place to protect employees from retaliation, to any whistleblower who fails to report or attempt to report the information through such mechanism, unless: (1) The whistleblower reasonably believed that such an internal report would have resulted in retaliation, notwithstanding 49 U.S.C. 30171(a); (2) The whistleblower reasonably believed that the information: (A) was already internally reported; (B) was already subject to or part of an internal inquiry or investigation; or (C) was otherwise already known to the motor vehicle manufacturer, part supplier, or dealership; or (3) The Agency has good cause to waive this requirement. § 513.8 Provision of false information. A person who knowingly and intentionally makes any false, fictitious, or fraudulent statement or representation, or who makes or uses any false writing or document knowing the same to contain any false, fictitious, or fraudulent statement or entry, shall not be entitled to an award under this section and shall be subject to prosecution under section 1001 of title 18. § 513.9 Procedures for making a claim for a whistleblower award. (a) Whenever any administrative or judicial action, including any related administrative or judicial action, brought by the U.S. Department of Transportation, Agency, or U.S. Department of Justice under 49 U.S.C. Chapter 301 in the aggregate results in collected monetary sanctions exceeding $1,000,000, the Agency will publish on the Agency's website a “Notice of Covered Action.” Such Notice will be published subsequent to a final judgment, order, or agreement that alone, or in the aggregate, results in collected monetary sanctions exceeding $1,000,000. A claimant will have ninety (90) days from the date of the Notice of Covered Action to file a claim, including any attachments, for an award based on that action, or the claim will be barred. The claim is deemed filed on the date that it is received by the Agency. (b) To file a claim for a whistleblower award, the claimant must complete the WB-AWARD form and submit it no later than ninety (90) calendar days from the date of the Notice of Covered Action to NHTSA's Office of the Chief Counsel by email to NHTSAWhistleblower@dot.gov (c) If the claimant provided original information anonymously pursuant to § 513.4, the claimant must disclose the claimant's identity on the WB-AWARD form and the claimant's identity must be verified in a form and manner that is acceptable to the Agency prior to the authorization of payment of any award to such claimant. (d) If a claimant filed a claim for a whistleblower award after December 4, 2015 (the date of the enactment of the FAST Act) but before January 16, 2025, the claim submission will be deemed to meet the requirements of § 513.9. § 513.10 Award determinations. (a) Once the time for filing any appeals of the covered action (and all related actions) has expired, or where an appeal has been filed, after all appeals in the covered action and related actions have concluded, and over $1,000,000 in monetary sanctions have been collected, the Agency will evaluate all timely whistleblower award claims submitted on a WB-AWARD form in accordance with the criteria set forth in this part. The Agency may require the claimant to provide additional information relating to the claimant's eligibility for an award or satisfaction of any of the conditions for an award. (b) The determination of whether, to whom, or in what amount to make an award shall be in the discretion of the Administrator. In determining whether to grant an award to a whistleblower eligible for an award and the amount of an award, the Administrator shall take into consideration, as appropriate: (1) Whether a whistleblower reported or attempted to report the information internally to an applicable motor vehicle manufacturer, part supplier, or dealership; (2) The significance of the original information provided by the whistleblower to the successful resolution of the covered action; (3) The degree of assistance provided by the whistleblower and any legal representative of the whistleblower in the covered action; (4) The statutory purpose of incentivizing whistleblowers; and (5) The public interest or such additional factors as the Administrator considers relevant. (c) If the Administrator determines that an award is warranted, the Administrator shall determine the amount of such award or awards to one or more whistleblowers. Whistleblower awards shall be in an aggregate amount equal to— (1) Not less than 10 percent, in total, of monetary sanctions collected in the covered action; and (2) Not more than 30 percent, in total, of monetary sanctions collected in the covered action. (d) Following the Administrator's determination, the Agency will send each whistleblower claimant an Order setting forth whether the claim is granted or denied, and if granted, setting forth the award amount. If the Administrator determines that an award is warranted, in no event will the total amount awarded to all whistleblowers in the aggregate be less than 10 percent or greater than 30 percent of the amount of monetary sanctions collected in the covered action. (e) No contract with the Agency is necessary for a whistleblower to receive an award. § 513.11 Appeals of award determinations. (a) A claimant may appeal any determination made by the Administrator under § 513.10 to an appropriate court of appeals of the United States not later than 30 days after the Order is issued by the Administrator. (1) If no claimant files an appeal within 30 days after the Order is issued by the Administrator, no appeals are permitted with respect to the claim that is the subject of the Order. (2) If any claimant appeals within 30 days after the Order is issued by the Administrator, no payments with respect to the covered action will be made until the appealed award determination action is concluded. (b) These rules do not entitle claimants to obtain from the Agency any privileged materials such as pre-decisional, attorney-client privileged, attorney work product privileged, or internal deliberative process materials related to the Administrator's Order and/or any privileged material relating to whether, to whom, and in what amount to make a whistleblower award. (c) The Agency may make redactions to the materials constituting the record as necessary, including but not limited to making redactions to comply with statutory restrictions, the Agency's enforcement and regulatory functions and regulations, and to comply with requests for confidential treatment from law enforcement, regulatory authorities, or persons submitting information to the Agency pursuant to 49 CFR part 512. (d) Pursuant to 49 U.S.C. 30172(h)(3), the court shall review the determination made by the Administrator in accordance with 5 U.S.C. 706. § 513.12 Procedures applicable to the payment of awards. (a) A recipient of a whistleblower award is entitled to payment on the award only to the extent that a monetary sanction upon which the award is based is collected in the covered action. (b) Payment of a whistleblower award for a monetary sanction collected in connection with a covered action shall be made within a reasonable time following the later of: (1) The date on which the monetary sanction totaling over $1,000,000 is collected; or (2) The completion of the appeals process for all award determination claims arising from the Administrator's Order relating to the covered action. Appendix A to Part 513—Form WB-INFO Appendix B to Part 513—Form WB-RELEASE Appendix C to Part 513—Form WB-AWARD

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