Last revised (Transmittal 02-009) March 4, 2024

ADMINISTRATIVE OFFICE OF THE UNITED STATES COURTS

AO MANUAL

Volume 2: Accountability

Chapter 4: Fraud, Waste, or Abuse

§ 410 General

§ 410.10 Definitions

§ 410.15 Applicability

§ 410.20 Authorities

§ 410.30 Responsibilities

§ 420 Allegations of Fraud, Waste, or Abuse

§ 420.10 Confidentiality

§ 420.20 Whistleblower Protection

§ 430 Receipt of Allegations

§ 440 Investigations

§ 450 Reporting

§ 410 General

(a) This chapter describes AO policies regarding the:

• receipt of allegations of fraud, waste, or abuse of resources;

• conduct of investigations of such allegations; and

• AO’s responsibility to report allegations and investigative activity.

(b) Policies for court units, federal public defender organizations (FPDOs), 

and the AO are provided in Guide, Vol. 1, Ch. 14 (Fraud, Waste, or 

Abuse), including the AO’s role in the process. 

(c) For policy guidance on reporting other types of wrongdoing, see: Guide, 

Vol. 1, § 1410. 

§ 410.10 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.
AO Manual, Vol. 2 (Accountability), Ch. 4 (Fraud, Waste, or Abuse) Page 2

§ 410.10 Definitions

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.

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.

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.

§ 410.15 Applicability

The policy applies to all AO government employees.

§ 410.20 Authorities

(a) The Director supervises the operations of the AO and its components. 

See: 28 U.S.C. § 601.

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

courts. See: 28 U.S.C. § 604(a).

§ 410.30 Responsibilities

(a) Director

(1) The Director is responsible for establishing a program for receiving, 

investigating, and reporting on fraud, waste, or abuse allegations. 

(2) The Director has assigned day-to-day responsibility for overseeing 

the fraud, waste, or abuse investigation program to the Deputy 

Director.

(b) Deputy Director

The Deputy Director is responsible for ensuring:

(1) investigation, oversight, and resolution of fraud, waste, or abuse 

allegations regarding AO staff or operations;

(2) coordination of and referral to court units and FPDOs any allegation 

regarding their respective operations reported to the AO;
AO Manual, Vol. 2 (Accountability), Ch. 4 (Fraud, Waste, or Abuse) Page 3

(3) reporting to the Judicial Conference Committee on Audits and 

Administrative Office Accountability (AAOA Committee):

(A) allegations of fraud, waste, or abuse reported to the AO, 

(B) the status of any pending investigation, and

(C) the outcome of any investigation, including investigations 

conducted by a court unit or FPDO (see: Guide, Vol. 1, 

§ 1450.10).

(c) Deputy Director Office Staff

The Deputy Director's staff, including its AO investigators, is responsible 

for:

(1) tracking allegations of fraud, waste, or abuse reported to the AO;

(2) tracking the outcome of any investigation conducted by a court unit 

or FPDO;

(3) conducting non-criminal investigations and fact-finding inquiries 

regarding allegations of fraud, waste, or abuse:

(A) for the AO Deputy Director, and

(B) at the request of responsible judiciary officials, who are 

identified in Guide, Vol. 1, § 1440.10; 

(4) preparing investigation or fact-finding reports for the AO Deputy 

Director and responsible judiciary official, which includes an 

analysis of compliance with laws, regulations, and judiciary policies 

and recommendations for corrective measures;

(5) maintaining desk procedures for AO investigations and other factfinding activities; and

(6) ensuring that such procedures are current and consistent with 

federal government, non-criminal investigative standards.

(d) AO Employees 

(1) Employees should observe high standards of conduct so that the 

integrity and independence of the judiciary are preserved. 

AO Manual, Vol. 4, § 220(a) (Adherence to Requirements).
AO Manual, Vol. 2 (Accountability), Ch. 4 (Fraud, Waste, or Abuse) Page 4

(2) Employees should respect and comply with the law, AO policies, 

and these ethical standards, and should avoid impropriety and the 

appearance of impropriety in all activities. AO Manual, Vol. 4, 

§ 220(a).

(3) Employees may become aware of potential fraud, waste, or abuse 

in the AO, court units, or federal defender organizations (FDOs). 

This information may arise through the normal transaction of 

business, during audits or reviews, or in the course of other contact. 

(A) AO employees should promptly report potential fraud, waste, 

or abuse to the Office of the Deputy Director. See: 

AOWeb’s Reporting Allegations of Fraud, Waste, or Abuse

page.

(B) Managers who are made aware of allegations of potential

fraud, waste, or abuse must promptly refer the matter to the 

Office of the Deputy Director staff identified on AOWeb’s 

Fraud, Waste, or Abuse page.

(C) AO employees should cooperate with AO investigators 

during investigations and other fact-finding activities.

(D) Employees may not interfere with or hinder the investigation

and may not instruct or permit contractors to interfere with or 

hinder the investigation.

§ 420 Allegations of Fraud, Waste, or Abuse

(a) When reporting an allegation of fraud, waste, or abuse, employees should 

provide as much information as is possible, including:

• a written statement describing the nature of the allegation,

• the name(s) of the individual(s) involved, 

• the date(s) of the alleged misconduct or wrongdoing, and 

• any additional factual or verifiable supporting information available. 

(b) AO employees can report allegations through the following means:

(1) contact staff from the Office of the Deputy Director identified on 

AOWeb’s Fraud, Waste, or Abuse page;

(2) complete the online JNet form; or 

(3) email aodb_Fraud_Waste_Abuse_Complaint@ao.uscourts.gov.
AO Manual, Vol. 2 (Accountability), Ch. 4 (Fraud, Waste, or Abuse) Page 5

(c) The AO may also receive allegations from the public and other 

government agencies. See: AO Manual, Vol. 2, § 510.30.

§ 420.10 Confidentiality

For policy guidance on confidentiality, see: Guide, Vol. 1, § 1430.10.

§ 420.20 Whistleblower Protection

For policy guidance on whistleblower protection for AO employees and other judiciary 

employees, see: Guide, Vol. 1, § 1430.20(b). 

§ 430 Receipt of Allegations 

(a) Allegations Relating to the AO or Those Doing Business with the Judiciary

(1) When an AO employee receives or becomes aware of an allegation

relating to the AO or those doing business with the judiciary, the

employee should report the allegation to the Office of the Deputy

Director, consistent with Guide, Vol. 1, § 410.30(d).

(2) The AO investigator must promptly notify the Deputy Director and

the Deputy Director’s Chief of Staff of any such allegations. See: 

AOWeb’s Reporting Allegations of Fraud, Waste, or Abuse page.

(b) Allegations Relating to a Court Unit or FPDO

When an AO employee receives or becomes aware of an allegation 

relating to a court unit or FPDO:

(1) the employee should promptly report the allegation to the Office of 

the Deputy Director; and

(2) the Deputy Director or designee must forward the allegation to the 

responsible judiciary official, consistent with Guide, Vol. 1, 

§ 1440.10.

§ 440 Investigations

(a) The Office of the Deputy Director must promptly refer all received 

allegations to an AO investigator.

(b) The AO investigator, possibly with the assistance of a review team, must:
AO Manual, Vol. 2 (Accountability), Ch. 4 (Fraud, Waste, or Abuse) Page 6

(1) examine relevant records, interview staff, and analyze activities to 

determine compliance with applicable laws, regulations, and 

judiciary policy; and 

(2) prepare an investigation report describing:

(A) the investigation’s scope, objectives, findings, and 

recommendations;

(B) any noncompliance with policy, regulation, or law; and

(C) associated recommendations.

(c) The AO investigator reviews all allegations and conducts a full 

investigation where necessary to determine the merits of each allegation.

(d) Matters Outside the AO’s Fraud, Waste, or Abuse Program 

Certain matters do not fall within the scope of the AO’s fraud, waste, or 

abuse program. Therefore, allegations in the complaint are not 

investigated as a matter of fraud, waste, or abuse if:

(1) they fall outside the jurisdiction of the federal judiciary (e.g., 

allegations that involve federal agencies in the executive or 

legislative branches or state or local courts or agencies);

(2) they fall outside the scope of the judiciary's definitions of fraud, 

waste, or abuse provided in § 410.10;

(3) they are covered under a different policy and require a different 

process (e.g., judicial misconduct, employee dispute resolution, 

whistleblower retaliation); or

(4) the complainant disagrees with AO management’s legitimate 

application of judiciary policies or procedures where such 

application poses no risk of fraud, waste, or abuse as defined in

§ 410.10.

(e) The subject of an allegation is prohibited from being involved in 

conducting or overseeing the investigation.

§ 450 Reporting 

For policy guidance on reporting allegations and investigative activities, see: Guide, 

Vol. 1, § 1450.