Last revised (Transmittal 01-031) November 13, 2023

Guide to Judiciary Policy

Vol. 1: Governance and Authorities

Ch. 14: Fraud, Waste, or Abuse

§ 1410 Overview

§ 1410.10 Definitions

§ 1410.20 Applicability

§ 1420 Authorities and Responsibilities

§ 1420.10 Administrative Office

§ 1420.20 Circuit Judicial Councils

§ 1420.30 Court Units and FPDOs

§ 1430 Allegations of Fraud, Waste, or Abuse

§ 1430.10 Confidentiality

§ 1430.20 Whistleblower Protection

§ 1440 Receipt and Resolution of Allegations

§ 1440.10 Receipt of Allegations

§ 1440.20 Resolution of Allegations

§ 1450 Reporting

§ 1450.10 Court Units and FPDOs

§ 1450.20 Administrative Office

§ 1450.30 Losses Due to Fraud

§ 1410 Overview

(a) This chapter provides the responsibilities for reporting and responding to 

allegations of fraud, waste, or abuse of resources for judiciary 

organizations identified in § 1410.20. 

(b) Guidance on reporting types of wrongdoing that are outside the scope of 

this chapter:

(1) For allegations of judicial misconduct, see: Guide, Vol. 2E (Judicial 

Conduct and Disability Act and Related Materials). 

(2) For allegations of whistleblower retaliation, see: § 1430.20. 

(3) For allegations related to a judicial decision in a case, see: 

28 U.S.C. § 1291. 
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(4) For allegations of sexual harassment, discriminatory harassment, 

abusive conduct, discrimination, and retaliation for engaging in fair 

employment practices (FEP) protected activity (see: Guide, 

Vol. 12, § 220.10.10(d) and AO Manual, Vol. 4, § 320(b)(1)):

(A) Court unit and federal public defender organization (FPDO) 

employees should consult the relevant employment dispute 

resolution plan (Guide, Vol. 12, Appx. 2A (Model 

Employment Dispute Resolution Plan) and Appx. 2B (Model 

Federal Public Defender Organization (FPDO) EDR Plan)).

(B) Employees of the Administrative Office of the U.S. Courts 

(AO) should consult the workplace conduct and protections 

and employee grievances policies provided in the AO 

Manual.

Note: The Office of Judicial Integrity provides assistance regarding 

the resources available to address workplace conduct concerns 

within the judiciary. Similarly, the Office of Fair Employment 

Practices and the Office of AO Human Resources are available to 

AO employees seeking assistance in addressing similar concerns.

(5) Allegations that fall outside of the above categories should be 

reported to the appropriate member of the employee’s 

management chain.

§ 1410.10 Definitions

Abuse An administrative violation of judiciary, court unit, or organization 

regulation that impairs effective and efficient operations. The violation 

may result in federal losses, or denial or reduction of lawfully authorized 

federal benefits to participants.

Allegation A claim of misconduct that is believed to have resulted in fraud, waste, or 

abuse.

Complainant A person submitting an allegation of fraud, waste, or abuse.

Court units All U.S. courts and their units, including circuit offices and bankruptcy 

administrator offices.

Court unit 

executives

Heads of court units, including circuit executives, district court executives, 

clerks of court, chief probation officers, chief pretrial services officers, 

senior staff attorneys, chief circuit mediators, bankruptcy administrators, 

and circuit librarians.

Federal defender 

organizations 

(FDOs)

A term that includes both federal public defender organizations and 

community defender organizations (CDOs), which are grantees and not 

organizations within the judicial branch.
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§ 1410.10 Definitions

Fraud An intentional, wrongful act to obtain either money or some other 

advantage or benefit from government programs. Fraud includes theft, 

embezzlement, false statements, illegal commissions, kickbacks, 

conspiracies, obtaining contracts through collusive arrangements, and 

similar devices.

Judiciary 

employees

Employees of the organizations identified in § 1410.20.

Waste Inappropriate action or omission by those with controls over government 

resources that results in taxpayers not receiving reasonable value for 

money in connection with any government-funded activities. Waste 

relates primarily to mismanagement, inappropriate actions, and 

inadequate oversight.

Whistleblower Any judiciary personnel with authority to take, direct others to take, 

recommend, or approve any personnel action may not use such authority 

to take or threaten to take an adverse employment action against an 

employee (excluding applicants for employment) because of any 

disclosure of information:

(1) by the employee to:

(A) the appropriate federal law enforcement authority,

(B) supervisor or managerial official of the employing office,

(C) a judge of the court, or

(D) the AO;

(2) that the employee reasonably and in good faith believes:

(A) violates any law, rule, or regulation, or other conduct that 

constitutes gross mismanagement,

(B) represents a gross waste of funds, or

(C) poses a substantial and specific danger to public health or 

safety; and

(3) where such disclosure:

(A) is not specifically prohibited by law,

(B) does not reveal case-sensitive information, sealed material, 

or the deliberative processes of the federal judiciary, and

(C) does not reveal information that would endanger the 

security of any judge.

§ 1410.20 Applicability

(a) Except as provided in paragraph (b), this policy applies to the following:

• all federal courts in the judicial branch and their constituent units;

• bankruptcy administrator offices;

• FPDOs; and

• the AO.
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(b) This policy does not apply to the Supreme Court of the United States.

§ 1420 Authorities and Responsibilities

§ 1420.10 Administrative Office

(a) Director

(1) The Director serves as the chief administrative officer of the United 

States courts. 28 U.S.C. § 604(a).

(2) The Director has assigned responsibility to the Deputy Director for:

(A) coordination of and referral to the responsible judiciary 

official, as defined in § 1440.10, any allegations reported to 

or brought to the attention of the AO; and

(B) oversight of the fraud, waste, or abuse investigation 

program.

(b) Deputy Director

(1) The AO Deputy Director is responsible for informing the Judicial 

Conference Committee on Audits and Administrative Office 

Accountability (AAOA Committee) of fraud, waste, or abuse 

allegations reported to the AO and the status of those allegations 

until they are closed.

(2) The Deputy Director’s staff is responsible for tracking such 

allegations and conducting fact-finding activities for allegations 

involving

(A) the AO;

(B) anyone doing business with the AO; or

(C) a court unit or FPDO, as applicable, upon request of the 

chief judge. See: § 1440.20(c).

(c) AO Employees

(1) See: AO Code of Conduct, §§ 220(b), 230, 240.

(2) Additional policy on an AO employee’s role and responsibility 

regarding the fraud, waste, or abuse investigation program are 

provided in AO Manual, Vol. 2, Ch. 4.
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§ 1420.20 Circuit Judicial Councils

Each circuit judicial council is responsible for — and has the authority to make all orders 

necessary and appropriate to — the effective and expeditious administration of justice 

within its circuit. 28 U.S.C. § 332.

§ 1420.30 Court Units and FPDOs

§ 1420.30.10 Courts and Circuits

(a) Chief Judges

(1) The chief judge has a leadership role in court management and 

stewardship of resources. Guide, Vol. 13, § 130.30 and Code of 

Conduct for U.S. Judges (Guide, Vol. 2A, Ch. 2), Canon 3(B), 

subsections (1), (4), and (5).

(2) As a result of administrative program delegations and authorities, 

the chief judge is responsible for ensuring that the court is 

administered:

(A) effectively and efficiently,

(B) consistent with statutes and Judicial Conference and circuit 

judicial council policies, and

(C) according to judiciary procedures.

(3) As a consequence of the above-referenced responsibilities, the 

chief judge has the authority and responsibility to:

(A) ensure that allegations of fraud, waste, or abuse are 

appropriately addressed; and

(B) provide the following to the AO Deputy Director’s Office:

(i) updates on the status of investigations handled locally 

(see: § 1450.20), and

(ii) outcomes of investigations of or by a court unit or 

FPDO (see: § 1450.10(b)).

(b) Court Unit Executives and Their Employees

(1) Court unit executives must ensure that appropriate systems of 

internal control are in place to protect assets, including funds and 
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sensitive information, from fraud, waste, abuse, error, and loss. 

Guide, Vol. 11, § 140 (Responsibility).

(2) See: Code of Conduct for Judicial Employees (Guide, Vol. 2A, 

Ch. 3), Canon 1 and Canon 3A.

§ 1420.30.20 Bankruptcy Administrators and Their Employees

(a) Bankruptcy administrators must ensure that appropriate systems of 

internal control are in place to protect assets, including funds and sensitive 

information, from fraud, waste, abuse, error, or loss. Guide, Vol. 11, § 140 

(Responsibility).

(b) The chief judges of the circuit courts of appeals in Alabama and North 

Carolina appoint the bankruptcy administrators in those districts, 

respectively. The chief judge is responsible for addressing fraud, waste, 

or abuse allegations related to the bankruptcy administrator.

(c) Bankruptcy administrators are responsible for addressing fraud, waste, or 

abuse allegations regarding the activities and employees of the 

bankruptcy administrator office.

(d) See: Code of Conduct for Judicial Employees (Guide, Vol. 2A, Ch. 3), 

Canon 1 and Canon 3A, which apply to bankruptcy administrators and 

their staff.

§ 1420.30.30 Federal Public Defenders and Their Employees

(a) Federal public defenders (FPDs) must ensure that appropriate systems of 

internal control are in place to protect assets, including funds and sensitive 

information, from fraud, waste, abuse, error, or loss. Guide, Vol. 11, § 140 

(Responsibility).

(b) The chief judges of the circuit courts of appeals appoint FPDs in the 

circuits. The chief judge is responsible for addressing fraud, waste, or 

abuse allegations related to the FPD appointed by the court.

(c) The FPD is responsible for addressing fraud, waste, or abuse allegations 

regarding the activities and employees of the FPDO.

(d) See: Code of Conduct for Federal Public Defender Employees (Guide, 

Vol. 2A, Ch. 4), Canon 1 and Canon 3A.
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§ 1430 Allegations of Fraud, Waste, or Abuse

(a) Judiciary employees should inform any of the following officials in their 

organization, as applicable, of concerns or allegations regarding potential 

fraud, waste, or abuse:

• their court unit executive or FPD;

• their chief judge;

• their circuit judicial council in their circuit via the circuit executive; or

• AO staff through:

(1) the web-based JNet form, or

(2) an email to the AO Deputy Director’s office at: 

aodb_Fraud_Waste_Abuse_Complaint@ao.uscourts.gov.

(b) Court units and FPDOs are encouraged to establish fraud, waste, or 

abuse reporting procedures. See: JNet’s Sample Fraud, Waste or Abuse 

Reporting Procedures page.

§ 1430.10 Confidentiality

The judiciary treats all allegations seriously, including anonymous allegations. 

However, names and other contact information assist the judiciary in following up on 

allegations and investigating them thoroughly. See: § 1430.20 (Whistleblower 

Protection).

(a) When allegations are reported to the AO:

(1) AO personnel will maintain the confidentiality of a complainant’s 

identity, unless:

(A) the complainant has informed the AO investigator that they 

are not requesting confidentiality;

(B) disclosure becomes unavoidable during the investigation; or

(C) disclosure becomes necessary for the safety of the 

complainant or others.

(2) If disclosure of the identity of a complainant who has requested 

confidentiality becomes unavoidable during an investigation, the 

complainant will be notified before any disclosure unless such 

notice would be contrary to law or may be detrimental to the safety 

of the complainant or others.
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(b) Court units and FPDOs are encouraged to establish policies on the 

confidentiality of a complainant to engender candor regarding potential 

fraud, waste, or abuse.

§ 1430.20 Whistleblower Protection

(a) Court Unit and FPDO Employees

The process for addressing whistleblower retaliation complaints is 

provided in the relevant court unit or FPDO employment dispute resolution 

plan.

(b) AO Employees

The process for addressing complaints of whistleblower retaliation is 

provided under the AO Personnel Act of 1990 (Pub. L. No. 101-474). 

See: AO Manual, Vol. 4, Ch. 13 (Employee and Management Relations).

Note: The Office of Judicial Integrity provides assistance regarding the resources 

available to address workplace conduct concerns.

§ 1440 Receipt and Resolution of Allegations

§ 1440.10 Receipt of Allegations

(a) If the AO receives fraud, waste, or abuse allegations about a court unit or 

FPDO, the allegations must be referred to the responsible judiciary official, 

as defined below:

(1) the chief judge of the responsible court when the allegations 

concern a court unit or its activities;

(2) the chief judge of the responsible court of appeals when the 

allegations concern a chief judge of a district or bankruptcy court, 

FPD, or bankruptcy administrator;

(3) the circuit council when the allegations concern a circuit chief 

judge;

(4) the FPD when the allegations concern the FPDO or its staff, other 

than the FPD; or

(5) the bankruptcy administrator when the allegations concern the 

bankruptcy administrator office or its staff, other than the 

bankruptcy administrator.
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(b) The AO, as the grantor, has the authority to address allegations of fraud, 

waste, or abuse regarding CDOs, their staff, and activities within the 

scope of the annual grant and conditions agreement. If the AO receives 

allegations concerning a CDO or its staff, they are referred to the Deputy 

Director.

(c) If a circuit judicial council, court unit, or FPDO receives allegations 

concerning its staff or activity, they should be addressed according to local 

procedures.

(d) Referrals from Other Government Agencies

(1) Some complainants direct their allegations about the judiciary to 

other government agencies, such as the Office of the Inspector 

General at the Department of Justice (DOJ) or the Government 

Accountability Office (GAO). Those agencies may forward such 

allegations to the AO or directly to the identified judiciary 

organization.

(2) If the AO receives a complaint regarding a court unit or FPDO that 

appears not to have been forwarded to the responsible official (as 

defined above in paragraph (a)), the AO will forward the complaint 

to that official.

§ 1440.20 Resolution of Allegations

(a) The Director has assigned responsibility to the Deputy Director for day-today management of the AO’s fraud, waste, or abuse investigation 

program.

(b) Court units and FPDOs are encouraged to establish a process for 

resolving fraud, waste, or abuse allegations.

(c) The Judicial Conference has authorized the Director to provide 

investigative assistance related to an allegation at the request of a chief 

judge, circuit judicial council, federal public defender, or bankruptcy 

administrator consistent with the authorities defined in § 1440.10. JCUSSEP 1988, p. 57; JCUS-SEP 2019, pp. 5-6.

§ 1450 Reporting

§ 1450.10 Court Units and FPDOs

(a) Upon identification of a loss of government resources (e.g., funds, 

information, property) believed to have resulted from fraud or the 

fraudulent actions of an employee, the court unit executive or FPD must 
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take action to satisfy applicable reporting requirements in Guide, Vol. 13, 

§ 1320.30 or Vol. 16, § 590.

(b) The outcome of any fraud, waste, or abuse investigation of or by a court 

unit or FPDO must be reported to the AO Deputy Director’s Office, 

including:

(1) a description of the allegation(s);

(2) whether indicators of fraud, waste, or abuse were found for each

allegation;

(3) any personnel action taken;

(4) any policies or procedures that have been adopted or amended to 

minimize the risk of recurrence;

(5) any referral to the Department of Justice, U.S. Treasury, or other 

law enforcement organization;

(6) the amount of any losses; and

(7) recovery efforts for any losses, including the initiation of debt 

collection activities and the results of those activities.

§ 1450.20 Administrative Office

(a) AAOA Committee

(1) The AO provides the AAOA Committee a confidential summary of 

the status of allegations of fraud, waste, or abuse concerning the 

AO, court units, and FDOs.

(2) The AO must report the status of fraud, waste, or abuse allegations 

to the Committee until they have been closed.

(b) AO’s Office of Audit

The Office of the Deputy Director must report allegations and 

investigations to the AO’s Office of Audit if they result in identification of:

(1) noncompliance with judiciary policy,

(2) internal control weaknesses, or

(3) potential improper payments.
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(c) Due to the sensitive nature of allegations and investigations, the AO only 

provides status reports to the AAOA Committee and appropriate judiciary 

officials.

§ 1450.30 Losses Due to Fraud

(a) The chief judge, FPD, bankruptcy administrator or Director, or designee, is 

responsible for promptly notifying DOJ if a loss was a result of potential 

fraud. See: 31 CFR 900.3. The AO’s Office of the General Counsel can 

assist with reporting to DOJ.

(b) DOJ has sole authority to take action regarding such a loss, unless the 

agency returns the claim to the judiciary for further handling. If returned 

for action, the judiciary must seek to resolve the loss under the standards 

in 31 CFR 900-904. For debt collection policy, see: Guide, Vol. 13, 

Ch. 14 (Debt Collection).