dtm 13 008whistleblowerscoverage(snowden)

7/27/2019 DTM 13 008whistleblowerscoverage(Snowden)

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UNDER SECRETARYOF DEFENSE5000 DEFENSE PENTAG ON

WASHING TO N, DC 20301-5000

INTELLIGENC EJuly 8, 2013

MEMORANDUM FOR SECRETARIES OF THE MILITARY DEPARTMENTSCHAIRMAN OF THE JOINT CHIEFS OF STAFF

UNDER SECRETARIES OF DEFENSE

DEPUTY CHIEF MANAGEMENT OFFICERDIRECTOR, COST ASSESSMENT AND PROGRAM

EVALUATION

DIRECTOR, OPERATIONAL TEST AND EVALUATIONGENERAL COUNSEL OF THE DEPARTMENT OF DEFENSE

INSPECTOR GENERAL OF THE DEPARTMENT OF DEFENSE

ASSISTANT SECRETARIES OF DEFENSE

DEPARTMENT OF DEFENSE CHIEF INFORMATION OFFICERASSISTANTS TO THE SECRETARY OF DEFENSEDIRECTOR, ADMINISTRATION AND MANAGEMENT

DIRECTOR, NET ASSESSMENTDIRECTORS OF THE DEFENSE AGENCIES

DIRECTORS OF THE DoD FIELD ACTIVITIES

SUBJECT: Directive-type Memorandum (DTM) 13-008, DoD Implementation of

Presidential Policy Directive 19

References: See Attachment 1

Purpose. This DTM:

In accordance with the authority in DoD Directive 5143.01 (Reference (a)),establishes policy, assigns responsibilities, and provides procedures for the

implementation of Presidential Policy Directive 19 (PPD-19) (Reference (b)),

which prohibits retaliation against employees for reporting waste, fraud, andabuse.

Requires DoD Component heads with Defense Civilian Intelligence PersonnelSystem (DCIPS) positions to certify to the Under Secretary of Defense for

Intelligence (USD(I)) by July 8, 2013 that Component-level policies andprocedures are in place for the review process required in section A of

Reference (b).

This DTM is effective July 8, 2013; it will be incorporated into DoDInstruction 1400.25, Volume 2001 (Reference (c)) and a DoD manual

currently under development. This DTM will expire effective January 8,2014.


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THE WHITE HOUSEWASHINGTON

October 10, 2012

PRESIDENTIAL POLICY DIRECTIVE/PPD-19MEMORANDUM FOR

SUBJECT:

THE VICE PRESIDENTTHE SECRETARY OF STATETHE SECRETARY OF THE TREASURYTHE SECRETARY OF DEFENSETHE ATTORNEY GENERALTHE SECRETARY OF COMMERCETHE SECRETARY OF ENERGYTHE SECRETARY OF HOMELAND SECURITYASSISTANT TO THE PRESIDENT AND CHIEF OF STAFFDIRECTOR OF THE OFFICE OF MANAGEMENT AND BUDGETUNITED STATES TRADE REPRESENTATIVEREPRESENTATIVE OF THE UNITED STATES OF AMERICA TO

THE UNITED NATIONSCHAIR OF THE COUNCIL OF ECONOMIC ADVISERSASSISTANT TO THE PRESIDENT FOR NATIONAL SECURITY

AFFAIRSDIRECTOR OF NATIONAL INTELLIGENCEDIRECTOR OF THE CENTRAL INTELLIGENCE AGENCYASSISTANT TO THE PRESIDENT FOR ECONOMIC POLICY

AND DIRECTOR OF THE NATIONAL ECONOMIC COUNCILDIRECTOR OF THE OFFICE OF SCIENCE AND TECHNOLOGYPOLICYCHAIRMAN OF THE JOINT CHIEFS OF STAFFPro tec t ing Whist leb lowers with Access toClass i f i ed Informat ion

This Pres iden t ia l Policy Direc t ive ensures t h a t employees(1) serving in th e In te l l igence Community o r (2) who aree l i g i b l e fo r access to c l a s s i f i e d informat ion can e f fec t ive lyrepor t waste , fraud, and abuse while pro tec t ing c l a s s i f i e dna t iona l secur i ty information. It proh ib i t s r e t a l i a t i on aga ins temployees fo r repor t ing waste, f raud, and abuse .To ensure the t imely and e f fec t ive implementat ion of the goalsof t h i s d i rec t ive , I hereby d i r e c t t h a t the fol lowing ac t ions betaken:


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A. Prohibi t ion on Reta l i a t ion in the In te l l igence CommunityAny of f i c e r o r employee of a Covered Agency who has au thor i ty tot ake , d i r ec t others to take, recommend, or approve any PersonnelAct ion, sh a l l not , wi th respec t to such au thor i ty , t ake or f a i lto take, or threa ten to t ake or f a i l to take, a Personnel Act ionwith respec t to any employee serv ing in an In te l l igenceCommunity Element as a r e p r i s a l fo r a Protected Disclosure .Within 270 days of the date of t h i s d i r ec t i v e , the head of eachIn te l l igence Community Element sh a l l ce r t i fy to the Di rec to r ofNat ional In te l l igence (DNI) t h a t the personnel p o l i c i e s t h a tapp ly to t h a t element provide a process fo r employees to seekreview of Personnel Act ions they a l l ege to be in v io la t ion oft h i s d i rec t ive and t h a t the review process i s cons i s t en t withthe requi rements of t h i s d i r ec t i v e . Such review process sh a l lapply to Personnel Act ions t h a t a r i s e a f t e r the date on whichthe depar tment or agency ("agency") head c e r t i f i e s the agencyreview process . I f the head of any In te l l igence CommunityElement f a i l s to make t h i s c e r t i f i c a t i on or i f the DNI disagreeswith the c e r t i f i c a t i on , th e DNI sh a l l no t i fy the Pres iden t .The review process requ i red by the above paragraph sh a l l becons i s ten t , to th e f u l l e s t ex t en t poss ib le , with th e p o l i c i e sand procedures used to ad jud ica te a l leged v io la t ions ofsec t ion 2302(b) (8) of title 5, United Sta t e s Code. The reviewprocess sh a l l provide fo r th e pro tec t ion of c l a s s i f i e d na t iona ls ecu r i t y informat ion and in te l l igence sources and methods. Asp a r t of the review process , the agency Inspec to r Genera l sh a l lconduct a review to determine whether a Personnel Actionv io l a t ed t h i s d i r ec t i v e and may recommend t h a t the agency takespec i f i c cor rec t ive ac t ion to re turn the employee, as near ly asprac t icab le and reasonab le , to the pos i t ion such employee wouldhave held had the r e p r i s a l n o t occurred . An agency head sh a l lca re fu l ly cons ider the f ind ings of and ac t ions recommended bythe agency Inspec to r Genera l . To the ex ten t au thor ized by law( inc lud ing the Back Pay Act) , correc t ive ac t ion may inc lude , bu ti s no t l imi ted to , re ins ta tement , reass ignment , the award ofreasonab le a t to rney ' s fees , othe r reasonable cos t s , back pay andr e l a t e d benef i t s , t r ave l expenses, and compensatory damages.B. Prohibi t ion on R eta l i a t i o n by Affec t ing El i g i b i l i t y fo r

Access to Class i f i ed Informat ionAny of f i c e r or employee of an execut ive branch agency who hasau thor i ty to t ake , d i r e c t others to t ake , recommend, or approveany ac t ion a f fec t ing an employee 's E l i g i b i l i t y fo r Access to


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Class i f i ed Informat ion sh a l l not , with respec t to suchau thor i ty , take o r f a i l to t ake , or threa ten to t ake or f a i l totake , any ac t ion a f f ec t i n g an employee 's El i g i b i l i t y fo r Accessto Class i f i ed Informat ion as a r e p r i s a l fo r a Pro tec tedDisclosure .Within 270 days of the date of t h i s d i r ec t i v e , the head of eachagency in possess ion of c lass i f i ed informat ion sh a l l c e r t i f y tothe DNI, ac t ing in h is o r her capac i ty as the head of the e n t i t yse l ec t ed by the Pres iden t under subsect ion 435b(b) of t i t l e 50,United Sta t e s Code, and as the Secur i ty Execut ive Agentdes ignated in Execut ive Order 13467 of June 30, 2008, t h a t theagency has a review process t h a t permi ts employees to appealac t ions af fec t ing E l i g i b i l i t y fo r Access to Class i f i edInformat ion they a l lege to be i n v io l a t i o n of t h i s d i rec t ive andt h a t the review process i s cons i s t en t with the requi rements oft h i s d i rec t ive . Such review process sh a l l apply to ac t ions t h a ta r i s e a f t e r the date on which the agency head c e r t i f i e s theagency review process . I f the head of any agency f a i l s to maket h i s ce r t i f i ca t i on o r if the DNI disagrees with thec e r t i f i c a t i on , th e DNI sha l l no t i fy the Pres iden t .The review process requ i red by the above paragraph sh a l l , to th ef u l l e s t ex ten t poss ib l e , be cons i s t en t with and i n t eg ra t ed in tothe p o l i c i e s and procedures used to review secur i ty c learancedeterminat ions under Sect ion 5 .2 of Executive Order 12968 ofAugust 2, 1995, as amended. The review process sha l l providefo r th e pro tec t ion of c lass i f i ed na t iona l secur i ty informat ionand i n t e l l i g en ce sources and methods. As p a r t of the reviewprocess , the agency Inspec to r Genera l sh a l l conduct a review todetermine whether an ac t ion af fec t ing El i g i b i l i t y fo r Access toClass i f i ed Informat ion vio la t ed t h i s d i r ec t i v e and may recommendt h a t th e agency recons ider the employee 's El i g i b i l i t y fo r Accessto Class i f i ed Informat ion cons i s t en t with the na t iona l secur i tyand with Execut ive Order 12968 and recommend t h a t the agencytake othe r cor rec t ive ac t ion to r e tu rn the employee, as near lyas prac t icab le and reasonable , to th e pos i t ion such employeewould have held had the r e p r i s a l no t occurred . An agency headsh a l l care fu l ly cons ider the f indings of and ac t ions recommendedby th e agency Inspec to r General . To the extent authorized bylaw ( inc lud ing th e Back Pay Act) , cor rec t ive ac t ion may inc lude ,b u t i s no t l imi ted to , re ins ta tement , reass ignment , reasonablea t to rney ' s fees , othe r reasonable cos t s , back pay and r e la tedbenef i t s , t r ave l expenses , and compensatory damages.


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C. Inspec to r Genera l Externa l Review PanelAn employee a l l eg ing a r e p r i s a l who has exhausted the app l i cab lereview process required by Sect ion A o r B of t h i s d i r ec t i v e mayreques t an ex te rna l review by a three-member Inspec to r Genera lpanel (Externa l Review Panel) chai red by the Inspec to r Genera lof the In te l l igence Community (on behal f of the DNI, ac t ing inh is capac i ty as th e head of the en t i ty se lec ted by the Pres iden tunder subsec t ion 435b(b) of title 50, United Sta t e s Code, and asthe Secur i ty Executive Agent des ignated in Executive Order 13467of June 30, 2008) . I f such a reques t i s made, the InspectorGenera l of th e In te l l igence Community sh a l l decide, in h is o rher d isc re t ion , whether to convene the Externa l Review Panel ,and, i f so , sh a l l des ignate two othe r panel members from theInspec to rs General of the fo l lowing agencies : Departments ofSta te , the Treasury , Defense, Jus t i ce , Energy, and HomelandSecur i ty and Cent ra l In te l l igence Agency. The Inspec to r Genera lfrom the agency t h a t completed the i n i t i a l review sh a l l not be amember of the Externa l Review Panel . The Externa l Review Panelsh a l l complete a review of th e claim, which may c o n s i s t of af i l e review, as appropr ia te , wi th in 180 days.I f th e Externa l Review Panel determines t h a t the ind iv idua l wasthe subjec t of a Personnel Act ion proh ib i t ed by Sect ion A whilean employee of a Covered Agency o r an ac t ion a f f ec t i n g h is orh er El i g i b i l i t y fo r Access to Class i f i ed Informat ion prohibi tedby Sect ion B, the panel may recommend t h a t the agency head takecor rec t ive ac t ion to re turn the employee, as near ly asp r ac t i c ab l e and reasonable , to the pos i t ion such employee wouldhave held had the r e p r i s a l n ot occurred and t h a t th e agency headrecons ider the employee 's El i g i b i l i t y fo r Access to Class i f i edInformat ion cons i s t en t with the na t iona l secur i ty and withExecut ive Order 12968.An agency head sh a l l ca r e f u l l y cons ider the recommendation ofthe Externa l Review Panel pursuan t to the above paragraph andwith in 90 days, inform th e p an e l and the DNI of what ac t ion heo r she has taken . I f the head of any agency f a i l s to so informthe DNI, the DNI sh a l l no t i fy the Pres iden t .On an annual bas i s , the Inspec to r Genera l of the In te l l igenceCommunity sh a l l repor t the determinat ions and recommendationsand department and agency head responses to the DNI and, asappropr ia te , to the re levant congress iona l committees.With respec t to mat ters covered by t h i s d i r ec t i v e , a l l agenciessh a l l cooperate with t he i r respec t ive agency Inspec to rs Genera l ,


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the Inspec to r General of the In te l l igence Community, andExterna l Review Panels and provide such informat ion andass i s t ance to t h e i r respec t ive agency Inspec to rs General , theInspec to r Genera l of the In t e l l i gence Community, and members ofExterna l Review Panels as such Inspec to rs Genera l may reques t ,to the ex ten t permi t t ed by law.D. Pol i c i e s and ProceduresWithin 365 days of the date of t h i s d i rec t ive , the DNI sha l l , i nconsul ta t ion with the Secre ta ry of Defense, the AttorneyGeneral , and the heads of agencies contain ing In te l l igenceCommunity Elements , i ssue p o l i c i e s and procedures fo r ensuringt h a t a l l employees serving in In te l l igence Community Elementsare aware of th e pro tec t ions and review processes ava i lable toindiv idua ls who make Pro tec ted Disc losures . These p o l i c i e s andprocedures sh a l l to the ex ten t prac t icab le be pub l ica l lyava i l ab le , and sh a l l provide:(1) guidance fo r ind iv idua l o f f i c e r s or employees regarding

what di sc losure s are p ro tec ted ;(2) guidance fo r p o ten t i a l r ec ip ien t s on the appropria tehandling of Pro tec ted Disc losures , including fo r r e f e r r a l

by the DNI o r Inspec to r General o f the In t e l l i genceCommunity to appropr ia te agency o f f i c i a l s of any Pro tec tedDisc losures unre l a t ed to na t iona l i n t e l l i g en ce ; and

(3) in fo rmat ion regard ing the review processes required bySect ions A, B, and C of t h i s d i rec t ive .E. Review of Regulat ions Implementing Sect ion 2303 of Ti t l e 5,United Sta t e s CodeWithin 180 days o f the da te of t h i s d i rec t ive , the At torneyGeneral , i n consu l t a t ion with the Specia l Counsel and FederalBureau of Inves t iga t ion employees, sh a l l d e l iv e r a repor t to th ePres iden t t h a t assesses the e f f i cacy of the provis ions containedin p a r t 27 of title 28, Code of Federal Regulat ions in de te r r ingthe personnel p r ac t i c e s prohibi ted in sec t ion 2303 of title 5,United Sta t e s Code, and ensuring appropr ia te enforcement of t h a tsec t ion , and descr ibes any proposed rev i s ions to the provis ionscon ta ined in Par t 27 of title 28 tha t would increase t h e i re f fec t iveness in f u l f i l l i n g the purposes of sec t ion 2303 oftitle 5, United S ta t e s Code.


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F. Defini t ionsFor purposes of t h i s d i r ec t i v e :(1) The term "Covered Agency" means an execu t ive depar tment o rindependent es tabl ishment , as defined under sec t ions 101

and 104 of title 5, United Sta t e s Code, t h a t con ta ins o rco n s t i t u t e s an In te l l igence Community Element, as definedbelow.

(2) The term " E l ig ib i l i t y fo r Access to Class i f i ed Informat ionmeans the r e s u l t of the determinat ion whether an employee(a) i s e l ig ib l e fo r access to c l a s s i f i e d informat ion inaccordance with Executive Order 12968 ( r e la t ing to accessto c l a s s i f i e d in fo rmat ion) , o r any successor t he re to , andExecut ive Order 10865 of February 20, 1960, as amended( r e la t ing to safeguarding c l a s s i f i e d informat ion wi thi ndus t ry ) , o r any successor t he re to ; and (b) possesses aneed to know under such orders .

(3) The term " In te l l igence Community Element means anyexecu t ive agency o r u n i t the reof determined by thePres iden t under sec t ion 2302 (a) (2) (C) ( i i ) of title 5,United Sta tes Code, to have as i t s p r in c ip a l func t ion theconduct of foreign i n t e l l i g en ce o r coun te r in t e l l i gencea c t i v i t i e s , including but not l imi ted to the Off ice of theDNI, the Cen t ra l In te l l igence Agency, the Nat iona l Secur i tyAgency, the Defense In te l l igence Agency, the NationalGeospa t i a l - In t e l l i gence Agency, and the NationalReconnaissance Off ice . For purposes of t h i s d i r ec t i v e , theterm " In te l l igence Community Element" does not include theFedera l Bureau of Inves t iga t ion .

(4) The term "Personnel Act ion means an appointment ,promotion, de ta i l , t r an s f e r , reass ignment , demotion,suspension , t e rmina t ion , re ins ta tement , r es to ra t ion ,reemployment, o r performance eva lua t ion ; a dec i s ionconcerning pay, benef i t s , o r awards; a dec i s ion concerningeducat ion or t r a in ing i f the educat ion or t r a in ing mayreasonably be expected to l ead to an appointment ,reass ignment , promotion, or performance eva lua t ion ; adec i s ion to orde r psych ia t r i c t e s t ing o r examinat ion; andany othe r s i g n i f i c a n t change in du t ies , r e sp o n s i b i l i t i e s ,o r working cond i t ions .

The term "Personnel Action does not inc lude the terminat ion of anemployee pursuan t to sec t ion 1609 of title 10, United Sta t e s Code.


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The term "Personnel Action" does not inc lude the te rminat ion o f anemployee pursuant to sec t ion 102A(m) of th e Nat ional Secur i ty Actof 1947, sec t ion 104A(e) of th e Nat ional Secu r i t y Act of 1947, o rsec t ion 7532 o f title 5, United Sta t e s Code, so long as theo f f i c i a l au thor ized by t hose prov is ions to t e rmina te the employee(and not h is o r h er de1egee) (i) determines t h a t the a l t e rna t ivel ega l procedures to t e rmina te the employee cannot be invoked in amanner cons i s t en t with th e na t iona l secur i ty and ( i i ) promptlyn o t i f i e s the Inspec to r Genera l of the employing agency. The term"Personnel Action" does not inc lude ac t i o n s taken wi th respec t toa pos i t ion t h a t th e agency head has des ignated , p r io r to theac t ion as being o f a conf iden t i a l , pol icy determining,pol icymaking, o r pol i cy advocat ing charac te r . The term "PersonnelAction" does not inc lude ac t i o n s taken wi th respec t to a member o fth e Armed Forces , as used in sec t ion 1034 o f Ti t l e 10,United Sta tes Code. The term "Personnel Act ion" does not includeany ac t i o n s taken p r io r to th e i ssuance o f t h i s d i r ec t i v e .(5 ) The term "Pro tec ted Disclosure" means:

(a) a di sc losure of informat ion by th e employee to asuperv i so r in th e employee ' s d i r e c t chain o f commandup to and inc lud ing the head of th e employing agency,to the Inspec to r Genera l of th e employing agency o rIn te l l igence Community Element, to th e Direc to r ofNat ional In t e l l i gence , to th e Inspec to r General of theIn te l l igence Community, or to an employee des ignatedby any of the above o f f i c i a l s fo r the purpose o frece iv ing such di sc losure s , t h a t th e employeereasonably b e l i ev es evidences {i) a v io la t ion o f anylaw, ru l e , o r regula t ion; o r ( i i ) gross mismanagement,a gross waste of funds, an abuse o f au thor i ty , o r as u b s t an t i a l and spec i f i c danger to publ ic hea l th o rsa fe ty ;

(b) any communication descr ibed by and t h a t complies withsubsect ion (a) (1) , (d) , o r (h) o f sec t ion BH of theInspec to r Genera l Act of 1978 (5 U.S.C. App.) ;subsec t ion (d) (5) (A) o f sec t ion 17 o f the Cent ra lIn te l l igence Agency Act of 1949 (50 U.S.C. 403q); o rsubsec t ion (k) (5) (A), (D), o r (G), o f sec t ion 103H o fth e Nat iona l Secu r i t y Act o f 1947 (50 U.S.C. 403-3h);

(c) th e exe rc i se o f any appeal , compla int , o r grievancewith regard to th e v io la t ion of Sect ion A o r B of t h i sd i r ec t i v e ;


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(d) l awful ly par t i c ipa t ing in an inves t iga t ion o rproceeding regard ing a v io l a t i o n of Sect ion A or B oft h i s d i r ec t i v e ; or

(e) coopera t ing with o r disc los ing in fo rmat ion to anInspec to r General , in accordance with app l icab leprov i s ions of la w in connect ion with an aud i t ,inspec t ion , or inves t iga t ion conducted by theInspec to r Genera l ,

i f the ac t ions descr ibed under subparagraphs (c ) through (e) don o t r e s u l t in the employee di sc los ing c l a s s i f i e d informat ion o rothe r informat ion con t ra ry to law.G. Genera l Provis ionsThis d i rec t ive sh a l l be implemented in a manner cons i s t en t withappl icable law, including a l l s t a tu to ry au thor i t i e s of the headsof agenc ies and Inspec to rs General , and does not r e s t r i c tava i l ab le r i g h t s , procedures , and remedies under sec t ion 2302(b)of Ti t l e 5, United Sta t e s Code.This d i rec t ive i s not in tended to , and does not , c rea t e anyr igh t or benef i t , subs tan t ive o r procedura l , en forceab le a t lawo r in equ i ty by any par ty aga ins t the United Sta tes , i t sdepar tments , agencies , or en t i t i e s , i t s o f f i c e r s , employees, o ragents , o r any o t h e r person.


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DTM-13-008, July 8, 2013

2

Applicability. This DTM applies to OSD, the Military Departments, the Office of the

Chairman of the Joint Chiefs of Staff and the Joint Staff, the Combatant Commands, the Officeof the Inspector General of the Department of Defense (IG DoD), the Defense Agencies, the

DoD Field Activities, and all other organizational entities within the Department of Defense

(referred to collectively in this DTM as the DoD Components).

Definitions. See Glossary.

Policy. It is DoD policy that Reference (b) be implemented consistently across theDepartment.

Section A of Reference (b) prohibits any officer or employee with authority totake, direct others to take, recommend, or approve any personnel action fromtaking, failing to take, or threatening to take or fail to take a personnel action

against any employee serving in an Intelligence Community element as a

reprisal for a protected disclosure.

o DoD will establish processes consistent with Reference (b) for allemployees serving in DCIPS positions to seek review of personnelactions they allege to be in violation of section A of Reference (b).

These review processes will be consistent, to the fullest extent

possible, with the policies and procedures used to adjudicate alleged

violations of section 2302(b)(8) of Title 5, United States Code(Reference (d)).

o This review process applies to personnel actions taken on or afterJuly 8, 2013.

Section B of Reference (b) prohibits any officer or employee with authority totake, direct others to take, recommend, or approve any action affecting anemployees eligibility for access to classified information from taking or

failing to take, or threatening to take or fail to take such action as a reprisal for

a protected disclosure. The DoD review process will be consistent with andintegrated into the policies and procedures used by DoD to review security

clearance determinations pursuant to section 5.2 of Executive Order 12968, as

amended (Reference (e)).

oReviews of claims of reprisal for a protected disclosure in the form ofan action affecting employee eligibility for access to classified

information will be incorporated into DoDs established andcentralized administrative procedures to adjudicate security clearances

pursuant to Reference (e).

o All Defense Office of Hearings and Appeals, Administrative Judges,and personnel security appeal boards will consider and resolve any


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DTM-13-008, July 8, 2013

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claims of a violation of Reference (b) as part of their adjudication of

an individuals eligibility.

Nothing in this DTM should be construed as infringing on the independenceof the IG DoD or DoD Component statutory inspectors general (IGs) or

fulfillment of his or her duties pursuant to the authority of the Appendix toReference (d), also known as The Inspector General Act of 1978, asamended, and DoD issuances.

Responsibilities. See Attachment 2.

Procedures. See Attachment 3.

Releasability. Unlimited. This DTM is approved for public release and is available onthe DoD Issuances Website at http://www.dtic.mil/whs/directives.

Michael G. VickersUnder Secretary of Defense for Intelligence

Attachments:

As stated


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DTM-13-008, July 8, 2013

Attachment 14

ATTACHMENT 1

REFERENCES

(a) DoD Directive 5143.01, Under Secretary of Defense for Intelligence (USD(I)),November 25, 2005

(b) Presidential Policy Directive 19 (PPD-19), Protecting Whistleblowers with Access to

Classified Information, October 10, 2012

(c) DoD Instruction 1400.25, Volume 2001, DoD Civilian Personnel Management System:Volume 2001, Defense Civilian Intelligence Personnel System (DCIPS) Introduction,

December 29, 2008

(d) Title 5, United States Code(e) Executive Order 12968, Access to Classified Information, August 2, 1995, as amended

(f) DoD Instruction 5145.03, Oversight of the DoD Personnel Security Programs,

January 10, 2013

(g) DoD Directive 5106.01, Inspector General of the Department of Defense, April 20, 2012(h) DoD 5240.1-R, Procedures Governing the Activities of DoD Intelligence Components

that Affect United States Persons, December 7, 1982

(i) Directive-type Memorandum 08-052, DoD Guidance for Reporting QuestionableIntelligence Activities and Significant or Highly Sensitive Matters, June 17, 2009, as

amended

(j) Executive Order 10865, Safeguarding Classified Information within Industry,February 26, 1960, as amended

(k) Title 10, United States Code

(l) Title 50, United States Code


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DTM-13-008, July 8, 2013

Attachment 25

ATTACHMENT 2

RESPONSIBILITIES

1. USD(I): The USD(I):

a. Is responsible for implementation of PPD-19 in the DoD.

b. Establishes and maintains DCIPS policies implementing Reference (b) in conjunctionwith the Under Secretary of Defense for Personnel and Readiness (USD(P&R)).

c. As the principal staff assistant for security, establishes and maintains security policiesimplementing Reference (b).

d. Directs, administers, and oversees the DoD Personnel Security Program to ensure it is

consistent, cost-effective, and efficient, and balances the rights of individuals with the interestsof national security in accordance with DoD Instruction 5145.03 (Reference (f)).

2. USD(P&R). The USD(P&R) establishes and maintains DCIPS policies implementing

Reference (b) in conjunction with the USD(I).

3. GENERAL COUNSEL OF THE DEPARTMENT OF DEFENSE. In coordination with the

USD(I), the General Counsel of the Department of Defense oversees the DoD Personnel SecurityProgram in accordance with Reference (f).

4. IG DoD. The IG DoD:

a. Maintains a whistleblower protection program in the Department of Defense that

encourages personnel to report fraud, waste, abuse and reprisal, in accordance with DoDD5106.01 (Reference (g)), and provides hotlines on three networks:

http://www.dodig.mil/Hotline/filing_info.html, http://www.dodig.smil.mil/hotline, and

http://www.dodig.ic.gov/hotline/index.html as avenues for such reporting.

b. Investigates or provides oversight on investigations conducted by DoD Components

into allegations of reprisal made by civilian appropriated-fund employees, in accordance withReference (g). Such allegations include those from DCIPS employees, actions affecting security

clearance determinations, actions relating to access to classified information, and

recommendations for actions affecting security clearances.

c. Serves on the Inspector General of the Intelligence Community (IGIC) external review

panel in accordance with section C of Reference (b).
http://www.dodig.mil/Hotline/filing_info.htmlhttp://www.dodig.smil.mil/hotlinehttp://www.dodig.ic.gov/hotline/index.htmlhttp://www.dodig.ic.gov/hotline/index.htmlhttp://www.dodig.smil.mil/hotlinehttp://www.dodig.mil/Hotline/filing_info.html


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Attachment 26

5. DOD COMPONENT HEADS WITH DCIPS POSITIONS. The DoD Component heads with

DCIPS positions in their organizations:

a. Ensure that Component-level policies and implementing guidance conform to this

DTM in support of Reference (b).

b. Certify by July 8, 2013, to the USD(I) that Component personnel policies provide a

process consistent with Reference (b) for employees to seek review of personnel actions they

allege to be in violation of Reference (b).

c. Furnish USD(I) and IG DoD with copies of Component personnel policies and

procedures implementing Reference (b) to support reviews detailed in Attachment 3.

d. Designate, as applicable, any DCIPS positions that are of a confidential, policy

determining, policy making, or policy advocating character, and are not to be included in the

definition of personnel action of Reference (b).


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Attachment 47

ATTACHMENT 3

PROCEDURES

1. PROHIBITION OF RETALIATION. Personnel policies for DCIPS will include theprohibition of reprisal against an employee serving in a DCIPS position for protected disclosures.

Prohibitions on reprisal by affecting eligibility for access to classified information will be

incorporated into administrative procedures as required by Reference (b).

2. IG DoD REVIEW OF DCIPS EMPLOYEE ALLEGATIONS. Consistent with section A of

Reference (b), which specifies agency IG review, the IG DoD will review a personnel action todetermine if it violated Reference (b) if the request for review from a DCIPS employee is filed

with the DoD Hotline. If a request for review is filed with a DoD Component IG, IG DoD will:

a. Receive notification from a DoD Component IG of all reprisal allegations fromDCIPS employees submitted to that Component pursuant to section A.

b. Review and approve the determination by a DoD Component IG that investigation ofan allegation submitted to that Component is not warranted.

c. Expeditiously initiate or request the DoD Component with a statutory IG to initiate aninvestigation when IG DoD determines that sufficient evidence exists to warrant an

investigation. When the IG DoD requests a Component with a statutory IG to conduct an

investigation, ensure that the IG conducting the investigation is outside the supervisory chain ofthe employee submitting the allegation(s) as well as the individual(s) alleged to have taken the

reprisal action.

d. Review and approve the results of investigations conducted by DoD Component

statutory IGs. Initiate a follow-up investigation to correct inadequacies or ensure that the DoD

Component statutory IG corrects them, if the review determines that an investigation is

inadequate.

e. In substantiated cases, recommend that the DoD Component take specific corrective

action to return the employee, as nearly as practicable and reasonable, to the position suchemployee would have held had the reprisal not occurred.

f. Ensure the standards of proof applied in the investigation are a preponderance ofevidence for establishing that a protected disclosure was a factor in the personnel action and

clear and convincing evidence for establishing that the action would have occurred absent the

protected disclosure.

3. DoD COMPONENT IG ACTION


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Attachment 48

a. Consistent with section A of Reference (b), the IGs of the DoD Components with

DCIPS positions will establish internal procedures for receiving and reporting allegations of

reprisal pursuant to Reference (b). Further, they will:

(1) Notify the IG DoD within 10 working days of receiving any allegation of

reprisal from a DCIPS employee pursuant to Reference (b) and provide a copy of the writtencomplaint to the IG DoD, ensuring that classified materials are submitted through appropriate

channels.

(2) If IG DoD does not retain the allegation for investigation, expeditiouslydetermine whether there is sufficient evidence to warrant an investigation of an allegation of

reprisal pursuant to Reference (b).

(3) Forward to the IG DoD for review any determination that there is not

sufficient evidence to warrant investigation. If the IG DoD concurs with the determination of the

DoD Component IG that there is not sufficient evidence to warrant investigation, the Component

IG will notify the employee making the allegation.

(4) Report as appropriate pursuant to DoD 5240.1-R (Reference (h)) and DTM

08-052 (Reference (i)) any allegation of reprisal that qualifies as a questionable intelligenceactivity.

b. Consistent with section A of Reference (b), statutory IGs of DoD Components withDCIPS positions will also establish internal procedures for investigating allegations of reprisal

pursuant to Reference (b). Those procedures will include:

(1) Expeditiously initiating an investigation when it has been determined that an

investigation is warranted or upon receiving a request to do so from the IG DoD.

(2) Forwarding reports of investigation of such allegations to the IG DoD for

approval.

(3) In substantiated cases, recommending that the DoD Component take specificcorrective action to return the employee, as nearly as practicable and reasonable, to the position

such employee would have held had the reprisal not occurred.

(4) Ensuring the standards of proof applied in the investigation are a

preponderance of evidence for establishing that a protected disclosure was a factor in the

personnel action, and clear and convincing evidence for establishing that the action would haveoccurred absent the protected disclosure.

4. IG DoD REVIEW OF SECURITY ACTIONS. Pursuant to section B of Reference (b), the IGDoD will determine whether an action affecting eligibility for access to classified information

violated Reference (b).


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Attachment 49

a. Upon receipt of an allegation from an employee or notice from any DoD personnel

security adjudication facility, Defense Office of Hearings and Appeals, or Personnel Security

Appeals Boards that an employee has alleged an action affecting eligibility for access toclassified information violated Reference (b), IG DoD will review the allegation, determine

whether an investigation of the allegation is warranted and, as appropriate, may initiate its own

investigation expeditiously or review a fully developed record following completion of DoDestablished administrative procedures used to review security clearance determinations in

accordance with section 5.2 of Reference (e).

b. The IG DoD will ensure the standards of proof applied in determining whether reprisaloccurred are a preponderance of the evidence for establishing that a protected disclosure was a

factor in the security clearance determination and clear and convincing evidence for establishing

that the action would have been taken absent the protected disclosure.

c. In substantiated cases, the IG DoD may recommend the DoD Component head

reconsider the employees eligibility for access to classified information consistent with national

security and Reference (e).

d. The IG DoD may recommend that the DoD Component take any appropriate

corrective action to return the employee, as nearly as practicable and reasonable, to the positionthe employee would have held had the reprisal not occurred, and the DoD Component head will

carefully consider the findings and actions recommended.

5. PARTICIPATION IN THE IGIC EXTERNAL REVIEW PANEL. The IG DoD will serve on

the IGIC external review panel in accordance with Reference (b).


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Glossary10

GLOSSARY

PART I. ABBREVIATIONS AND ACRONYMS

DCIPSDTM

Defense Civilian Intelligence Personnel Systemdirective-type memorandum

IG

IG DoD

IGIC

inspector general

Inspector General of the Department of Defense

Inspector General of the Intelligence Community

PPD Presidential policy directive

USD(I)

USD(P&R)

Under Secretary of Defense for Intelligence

Under Secretary of Defense for Personnel and Readiness

PART II. DEFINITIONS

These terms and their definitions are for the purposes of this DTM.

eligibility for access to classified information. The result of the determination whether an

employee is:

Eligible for access to classified information in accordance with Reference (e) (relating to

access to classified information) and Executive Order 10865 (Reference (j)) (relating to

safeguarding classified information with industry), and

Possesses a need to know under such orders.

Intelligence Community element. Includes the Defense Intelligence Agency, the NationalGeospatial-Intelligence Agency, the National Security Agency, and the National Reconnaissance

Office, and any other DoD Component determined by the President pursuant to section

2302(a)(2)(C)(ii) of Reference (d), to have as its principal function the conduct of foreignintelligence or counterintelligence activities.

personnel action. An appointment, promotion, detail, transfer, reassignment, demotion,suspension, termination, reinstatement, restoration, reemployment, or performance evaluation; a

decision concerning pay, benefits, or awards; a decision concerning education or training if the

education or training may reasonably be expected to lead to an appointment, reassignment,

promotion, or performance evaluation; a decision to order psychiatric testing or examination; andany other significant change in duties, responsibilities, or working conditions. Does not include:


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Glossary11

Any actions taken prior to October 10, 2012.

Actions taken with respect to a member of the Military Services, as used in section 1034

of Title 10, United States Code (Reference (k)).

Actions taken with respect to an employee in a DCIPS position that the DoD Component

head has designated, prior to the action, as being of a confidential, policy determining, policy

making, or policy advocating character.

Terminations of an employee pursuant to section 1609 of Reference (k).

Certain terminations of an employee pursuant to sections 3024(m) and 3036(e) of Title50, United States Code (Reference (l)) or section 7532 of Reference (d).

protected disclosure. Defined in Reference (b).

statutory IG. An IG with authority pursuant to the Appendix to Reference (d).

dtm 13 008whistleblowerscoverage(snowden)

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