5 U.S.C. § 407 — Complaints by employees

Page 49 TITLE 5—GOVERNMENT ORGANIZATION AND EMPLOYEES § 407 Pub. L. 117–263, div. E, title LII, §§ 5261, 5272(2), Dec. 23, 2022, 136 Stat. 3238, 3239, prior to being repealed and reenacted as this section by Pub. L. 117–286, §§ 3(b), 7, Dec. 27, 2022, 136 Stat. 4218, 4361. For applicability of those amend- ments to this section, see section 5(b) of Pub. L. 117–286, set out in a Transitional and Savings Provisions note preceding section 101 of this title. Section 6 of Pub. L. 95–452 was amended as follows: (1) in subsection (c), by adding at the end the following: ‘‘(3) If the information or assistance that is the subject of a report under paragraph (2) is not pro- vided to the Inspector General by the date that is 30 days after the report is made, the Inspector General shall submit a notice that the information or assistance requested has not been provided by the head of the establishment involved or the head of the Federal agency involved, as applica- ble, to the appropriate congressional commit- tees.’’; and (2) in subsection (h)(4)— (A) in subparagraph (B), by striking ‘‘Gov- ernment’’; and (B) by amending subparagraph (C) to read as follows: ‘‘(C) Any other relevant congressional com- mittee or subcommittee of jurisdiction.’’ The word ‘‘Government’’ did not appear be- fore ‘‘Reform’’ in the text of subsection (h)(4)(B) as enacted by Pub. L. 117–286. See Historical and Revision note below. For definition of ‘‘appropriate congressional committees’’ as seen in the above amendment by Pub. L. 117–263, see Amendments Not Shown in Text note set out under section 401 of this title. HISTORICAL AND REVISION NOTES Revised Section Source (U.S. Code) Source (Statutes at Large) 406 ............. 5 U.S.C. App. (IGA § 6) Pub. L. 95–452, § 6, Oct. 12, 1978, 92 Stat. 1104; Pub. L. 100–504, title I, §§ 107, 110(a), Oct. 18, 1988, 102 Stat. 2528, 2529; Pub. L. 107–296, title VIII, § 812(a), Nov. 25, 2002, 116 Stat. 2222; Pub. L. 110–409, §§ 8, 9, 11, 14(a), Oct. 14, 2008, 122 Stat. 4313–4316; Pub. L. 114–317, §§ 2, 5, 7(d)(2)(D), (3)(B), Dec. 16, 2016, 130 Stat. 1595, 1603, 1606. In subsection (a)(8), the words ‘‘maximum rate pay- able under section 5376 of this title’’ are substituted for ‘‘equivalent rate prescribed for grade GS–18 of the Gen- eral Schedule by section 5332 of title 5, United States Code’’ for clarity and because of section 101(c) of the Federal Employees Pay Comparability Act of 1990 (en- acted by section 529 of Public Law 101–509 (5 U.S.C. 5376 note)). In subsection (f)(7), the date ‘‘November 25, 2002’’ is substituted for ‘‘the date of enactment of this sub- section’’ for clarity. Subsection (f) (formerly subsection (e)) of section 6 of the Inspector General Act of 1978 was enacted on November 25, 2002, by section 812(a) of the Homeland Security Act of 2002 (Public Law 107–296, 116 Stat. 2222). In subsection (h)(4)(B), the words ‘‘Committee on Oversight and Reform’’ are substituted for ‘‘Committee on Oversight and Government Reform’’ on authority of rule X(1)(n) of the Rules of the House of Representa- tives, adopted by House Resolution No. 6 (116th Con- gress, January 9, 2019). Editorial Notes REFERENCES IN TEXT The Federal Rules of Criminal Procedure, referred to in subsec. (a)(1)(C), are set out in the Appendix to Title 18, Crimes and Criminal Procedure. Statutory Notes and Related Subsidiaries CHANGE OF NAME Committee on Oversight and Reform of House of Rep- resentatives changed to Committee on Oversight and Accountability of House of Representatives by House Resolution No. 5, One Hundred Eighteenth Congress, Jan. 9, 2023. ESTABLISHMENT OF INSPECTORS GENERAL CRIMINAL IN- VESTIGATOR ACADEMY AND INSPECTORS GENERAL FO- RENSIC LABORATORY Pub. L. 106–422, § 2, Nov. 1, 2000, 114 Stat. 1873, as amended by Pub. L. 117–286, § 4(b)(10), Dec. 27, 2022, 136 Stat. 4343, provided that: ‘‘(a) INSPECTORS GENERAL CRIMINAL INVESTIGATOR ACADEMY.— ‘‘(1) ESTABLISHMENT.—There is established the Criminal Investigator Academy within the Depart- ment of the Treasury. The Criminal Investigator Academy is established for the purpose of performing investigator training services for offices of inspectors general created under chapter 4 of title 5, United States Code. ‘‘(2) EXECUTIVE DIRECTOR.—The Criminal Investi- gator Academy shall be administered by an Executive Director who shall report to an inspector general for an establishment as defined in section 401 of title 5, United States Code— ‘‘(A) designated by the President’s Council on In- tegrity and Efficiency; or ‘‘(B) if that council is eliminated, by a majority vote of the inspectors general created under chap- ter 4 of title 5, United States Code. ‘‘(b) INSPECTORS GENERAL FORENSIC LABORATORY.— ‘‘(1) ESTABLISHMENT.—There is established the In- spectors General Forensic Laboratory within the De- partment of the Treasury. The Inspectors General Fo- rensic Laboratory is established for the purpose of performing forensic services for offices of inspectors general created under chapter 4 of title 5, United States Code. ‘‘(2) EXECUTIVE DIRECTOR.—The Inspectors General Forensic Laboratory shall be administered by an Ex- ecutive Director who shall report to an inspector gen- eral for an establishment as defined in section 401 of title 5, United States Code— ‘‘(A) designated by the President’s Council on In- tegrity and Efficiency; or ‘‘(B) if that council is eliminated, by a majority vote of the inspectors general created under chap- ter 4 of title 5, United States Code. ‘‘(c) SEPARATE APPROPRIATIONS ACCOUNT.—[Amended section 1105 of Title 31, Money and Finance.] ‘‘(d) AUTHORIZATION OF APPROPRIATIONS.—There are authorized to carry out this section such sums as may be necessary for fiscal year 2001 and each fiscal year thereafter.’’ § 407. Complaints by employees (a) RECEIPT AND INVESTIGATION.—The Inspec- tor General may receive and investigate com- plaints or information from an employee of the establishment concerning the possible existence of an activity constituting a violation of law, rules, or regulations, or mismanagement, gross waste of funds, abuse of authority, or a substan- tial and specific danger to the public health and safety. (b) PROHIBITION ON DISCLOSURE OF IDENTITY.— The Inspector General shall not, after receipt of Page 50 TITLE 5—GOVERNMENT ORGANIZATION AND EMPLOYEES § 408 a complaint or information from an employee, disclose the identity of the employee without the consent of the employee, unless the Inspec- tor General determines the disclosure is un- avoidable during the course of the investigation. (c) PROHIBITION ON REPRISAL.—Any employee who has authority to take, direct others to take, recommend, or approve any personnel action, shall not, with respect to that authority, take or threaten to take any action against any em- ployee as a reprisal for making a complaint or disclosing information to an Inspector General, unless the complaint was made or the informa- tion disclosed with the knowledge that it was false or with willful disregard for its truth or falsity. (Pub. L. 117–286, § 3(b), Dec. 27, 2022, 136 Stat. 4224.) HISTORICAL AND REVISION NOTES Revised Section Source (U.S. Code) Source (Statutes at Large) 407 ............. 5 U.S.C. App. (IGA § 7) Pub. L. 95–452, § 7, Oct. 12, 1978, 92 Stat. 1105. § 408. Additional provisions with respect to the Inspector General of the Department of De- fense (a) INSPECTOR GENERAL.—A member of the Armed Forces, active or reserve, shall not be ap- pointed Inspector General of the Department of Defense. (b) AUTHORITY OF SECRETARY OF DEFENSE.— (1) IN GENERAL.—Notwithstanding the last two sentences of section 403(a) of this title, the Inspector General shall be under the au- thority, direction, and control of the Sec- retary of Defense with respect to audits or in- vestigations, or the issuance of subpoenas, which require access to information con- cerning— (A) sensitive operational plans; (B) intelligence matters; (C) counterintelligence matters; (D) ongoing criminal investigations by other administrative units of the Depart- ment of Defense related to national security; or (E) other matters the disclosure of which would constitute a serious threat to national security. (2) AUTHORITY TO PROHIBIT AUDIT OR INVES- TIGATION.—With respect to the information de- scribed in paragraph (1), the Secretary of De- fense may prohibit the Inspector General from initiating, carrying out, or completing any audit or investigation, from accessing infor- mation described in paragraph (1), or from issuing any subpoena, after the Inspector Gen- eral has decided to initiate, carry out, or com- plete such audit or investigation, access such information, or to issue such subpoena, if the Secretary determines that such prohibition is necessary to preserve the national security in- terests of the United States. (3) STATEMENT CONCERNING EXERCISE OF POWER.—If the Secretary of Defense exercises any power under paragraph (1) or (2), the In- spector General shall submit a statement con- cerning that exercise of power within 30 days to the Committee on Armed Services and the Committee on Homeland Security and Govern- mental Affairs of the Senate and the Com- mittee on Armed Services and the Committee on Oversight and Reform of the House of Rep- resentatives and to other appropriate commit- tees or subcommittees of the Congress. (4) STATEMENT OF REASONS FOR EXERCISE OF POWER.—The Secretary shall, within 30 days after submission of a statement under para- graph (3), transmit a statement of the reasons for the exercise of power under paragraph (1) or (2) to the congressional committees speci- fied in paragraph (3) and to other appropriate committees or subcommittees. (c) ADDITIONAL DUTIES AND RESPONSIBILITIES.— In addition to the other duties and responsibil- ities specified in this chapter, the Inspector General of the Department of Defense shall— (1) be the principal adviser to the Secretary of Defense for matters relating to the preven- tion and detection of fraud, waste, and abuse in the programs and operations of the Depart- ment; (2) initiate, conduct, and supervise such au- dits and investigations in the Department of Defense (including the military departments) as the Inspector General considers appro- priate; (3) provide policy direction for audits and in- vestigations relating to fraud, waste, and abuse and program effectiveness; (4) investigate fraud, waste, and abuse un- covered as a result of other contract and inter- nal audits, as the Inspector General considers appropriate; (5) develop policy, monitor and evaluate pro- gram performance, and provide guidance with respect to all Department activities relating to criminal investigation programs; (6) monitor and evaluate the adherence of Department auditors to internal audit, con- tract audit, and internal review principles, policies, and procedures; (7) develop policy, evaluate program per- formance, and monitor actions taken by all components of the Department in response to contract audits, internal audits, internal re- view reports, and audits conducted by the Comptroller General of the United States; (8) request assistance as needed from other audit, inspection, and investigative units of the Department of Defense (including military departments); (9) give particular regard to the activities of the internal audit, inspection, and investiga- tive units of the military departments with a view toward avoiding duplication and ensuring effective coordination and cooperation; and (10) conduct, or approve arrangements for the conduct of, external peer reviews of De- partment of Defense audit agencies in accord- ance with, and in such frequency as provided by, Government auditing standards as estab- lished by the Comptroller General of the United States. (d) REPORTING VIOLATIONS OF CHAPTER 47 OF TITLE 10.—Notwithstanding section 404(d) of this title, the Inspector General of the Department of Defense shall expeditiously report suspected