Antideficiency Act Investigations Assistant Secretary of the Navy Financial Management and Comptroller

1. Antideficiency Act InvestigationsAssistant Secretary of the Navy Financial Management and Comptroller Budget Policy and Procedures Division Ms. Maggie Maguire Mr. Stephen Patrick

2. ADA Investigations What It Is Getting Ready Conducting an Investigation Report Writing Summary

3. ADA Investigations A violation of the Antideficiency Act is a serious matter as it represents a violation of Federal statute �Between FY 1987 and FY 1997, 62 ADA violations investigated From FY 1998 to present, 38 ADA investigations initiated

4. ADA Investigations FMR volume 14 Preliminary check accounts Report to ASN(FM&C) Completed by Command personnel Formal Outside investigator Assign responsibility Discipline (?) OSD agree no violation PURPOSE Gather basic facts and determine whether a violation has apparently occurred DOCUMENT FINDINGS Review includes gathering documentation on questionable transaction(s), applicable unobligated funds status at the time of the questionable transaction, any applicable statutory constraints, policies, etc. Determine whether a potential violation has occurred or a report of �no violation� PURPOSE Gather basic facts and determine whether a violation has apparently occurred DOCUMENT FINDINGS Review includes gathering documentation on questionable transaction(s), applicable unobligated funds status at the time of the questionable transaction, any applicable statutory constraints, policies, etc. Determine whether a potential violation has occurred or a report of �no violation�

5. ADA Investigations The purpose of an investigation is to obtain facts sufficient to enable responsible authority to make intelligent decisions about corrective, remedial, or disciplinary action. �

6. ADA Investigations A formal investigation leads to a report which is submitted to OSD, the Congress and the President �

7. ADA Investigations � Getting Ready Review preliminary report & develop questions needed to ensure full understanding of facts and circumstances and applicable statutes and administrative limitations Validate the existence of the potential violation If a statutory limitation was violated, review the pertinent statute � Appendix B of FMR Vol 14 If a regulation or administrative limitation was violated � review the pertinent documents If a statutory limitation was violated, review the pertinent statute � Appendix B of FMR Vol 14 If a regulation or administrative limitation was violated � review the pertinent documents

8. ADA Investigations � Getting Ready Examine physical evidence as needed Trace and document transactions - who authorized or approved 5. Trace and document relevant decisions and circumstances that set the stage for the violation

9. ADA Investigations � Getting Ready Determine whom to interview � documents to request Prepare draft investigative plan Discuss plan with ASN(FM&C) POC Begin

10. ADA Investigations � Getting Ready The investigative plan is simply the outline of how the investigator intends to carry out the investigation in order to obtain the facts necessary to be able to write the report. Every investigation is conducted in accordance with some plan, whether it is deliberate or accidental, efficient or haphazard Every investigation is conducted in accordance with some plan, whether it is deliberate or accidental, efficient or haphazard

11. ADA Investigations � Getting Ready 1. Objective Complete Investigation of� � 2. Source of allegation(s) a. Background and Allegations. b. Applicable Regulations and Reference Publications. c. Command(s) involved. � 3. Documentation Required �What information do you need? a. Witnesses. b. Documents. 4. Administrative Matters. a. Itinerary: b. Notifications. c. Travel Requirements. � Investigator�s Signature Date Information should be similar to that in the appointment letter 2. Source of allegation(s) a. Background and Allegations � should be specific enough to describe scope of investigation b. Applicable Regulations and Reference Publications � what was the violation c. Command(s) involved Documentation Required �What information do you need? a. Witnesses. (From information available to you, list the names of witnesses that you want to interview for each allegation. Remember, the number of witnesses and possibly the allegations, within the scope of the investigation, may change. You may not need to question all witnesses about every allegation.) b. Documents. (List documents and records you need to substantiate or refute the allegation. These may include SOPs, training records, contracts, and more.) 4. Administrative Matters. a. Itinerary: (When, where, and how you plan to conduct the investigation. The list should include: courtesy calls, transportation requirements, lodging requirements, interview requirements and a time line for completion.) b. Notifications. (Identify commanders and personnel who should be notified.) c. Travel Requirements. (Travel orders, passports, car rentals.) � Information should be similar to that in the appointment letter 2. Source of allegation(s) a. Background and Allegations � should be specific enough to describe scope of investigation b. Applicable Regulations and Reference Publications � what was the violation c. Command(s) involved Documentation Required �What information do you need? a. Witnesses. (From information available to you, list the names of witnesses that you want to interview for each allegation. Remember, the number of witnesses and possibly the allegations, within the scope of the investigation, may change. You may not need to question all witnesses about every allegation.) b. Documents. (List documents and records you need to substantiate or refute the allegation. These may include SOPs, training records, contracts, and more.) 4. Administrative Matters. a. Itinerary: (When, where, and how you plan to conduct the investigation. The list should include: courtesy calls, transportation requirements, lodging requirements, interview requirements and a time line for completion.) b. Notifications. (Identify commanders and personnel who should be notified.) c. Travel Requirements. (Travel orders, passports, car rentals.) �

12. ADA Investigations �Conducting an Investigation �Conducting an investigation includes Interviewing key players and documenting results Differentiate between fact, fiction and circumstantial Establish Chronology of actions Circumstantial � when items A, B, and C appear to point to actions by an individual. Can lead investigator to conclude that individual contributed to the violation. However, when interviewed, the individual denies responsibility and involvement. IMPORTANT � AS IN THAT SITUATION, INVESTIGATOR WILL MAKE DETERMINATION BASED ON THE WEIGHT OF THE DOCUMENTATION Circumstantial � when items A, B, and C appear to point to actions by an individual. Can lead investigator to conclude that individual contributed to the violation. However, when interviewed, the individual denies responsibility and involvement. IMPORTANT � AS IN THAT SITUATION, INVESTIGATOR WILL MAKE DETERMINATION BASED ON THE WEIGHT OF THE DOCUMENTATION

13. ADA Investigations �Conducting an Investigation �Conducting an investigation includes ~ Specifically identify type of ADA violation * Identify date and amount ~ Determine what actions caused it

14. ADA Investigations �Conducting an Investigation �Conducting an investigation includes ~ Determine degree of responsibility of key players And identify the individual(s) responsible Assess whether responsible individual(s) committed violation knowingly and willfully

15. ADA Investigations �Conducting an Investigation �First step when visiting an activity - have an in-brief with Deputy Commander and other relevant personnel Explain what you�re doing

16. ADA Investigations �Conducting an Interview � Interview relevant personnel There is no perfect method to do an interview, but there are a few rules� 1. Shut up and listen 2. Shut up and listen 3. And rule 3 is�. People like to talk � Let them Preparation facilitates a good interview What is the objective or purpose What do I know What do I want to know What are the elements of the situation What is background of interviewee Preparation facilitates a good interview What is the objective or purpose What do I know What do I want to know What are the elements of the situation What is background of interviewee

17. ADA Investigations �Conducting an Interview �Question process General to Specific Ask, receive, evaluate, record Conversational manner Avoid leading questions Limit yes or no questions

18. ADA Investigations �Conducting an Interview Interviewing Options Recording the interview Telephone interviews Email Results of Interview Memorandum of meeting � a written record of what occurred and what was said; derived from notes and memory of investigator Have interviewee confirm information Option to have individual provide statement of circumstances as best as they recollect at time of interview Attributes of the Interviewer Evaluate information on own merit Avoid an attitude Keep open mind Do not underestimate interviewee Do not make false promises Results of Interview Memorandum of meeting � a written record of what occurred and what was said; derived from notes and memory of investigator Have interviewee confirm information Option to have individual provide statement of circumstances as best as they recollect at time of interview Attributes of the Interviewer Evaluate information on own merit Avoid an attitude Keep open mind Do not underestimate interviewee Do not make false promises

19. ADA Investigations � Report Writing Much of the information is available from the preliminary � in most cases Be thorough as the report becomes the basis for all future summations to OSD, Congress, and the President Much of the information is available from the preliminary � in most cases Be thorough as the report becomes the basis for all future summations to OSD, Congress, and the President

20. ADA Investigations � Report Writing

21. ADA Investigations � Report Writing

22. ADA Investigations � Report Writing

23. ADA Investigations � Report Writing

24. ADA Investigations � Report Writing

25. ADA Investigations � Report Writing The individual who is responsible for determining the appropriate disciplinary action shall: Acknowledge, in writing, that he or she understands that (a) a violation of the Anti-Deficiency Act is violation of Federal Statute; (b) the Department is required to report the violation to the President and the Congress of the United States; (c) even though a violation may not have been committed willfully or knowingly that, by itself, does not justify a decision not to administer disciplinary action; and (d) disciplinary action commensurate with the severity of the violation and other factors should be taken against the individual(s) named responsible for a violation. Provide a written statement addressing why he or she believes that the disciplinary action taken, or The failure to take disciplinary action, is commensurate with the severity of the violation. If there are extenuating circumstances, they must be considered. Include both statements discussed above in the report of investigation. The individual who is responsible for determining the appropriate disciplinary action shall: Acknowledge, in writing, that he or she understands that (a) a violation of the Anti-Deficiency Act is violation of Federal Statute; (b) the Department is required to report the violation to the President and the Congress of the United States; (c) even though a violation may not have been committed willfully or knowingly that, by itself, does not justify a decision not to administer disciplinary action; and (d) disciplinary action commensurate with the severity of the violation and other factors should be taken against the individual(s) named responsible for a violation. Provide a written statement addressing why he or she believes that the disciplinary action taken, or The failure to take disciplinary action, is commensurate with the severity of the violation. If there are extenuating circumstances, they must be considered. Include both statements discussed above in the report of investigation.

26. ADA Investigations � Report Writing Generally the Commanding Officer of an activity is the authorization holder. Statement identifies the degree of responsibility resulting as a result of command operating procedures. Generally the Commanding Officer of an activity is the authorization holder. Statement identifies the degree of responsibility resulting as a result of command operating procedures.

27. ADA Investigations � Report Writing

28. ADA Investigations � Lessons Learned Identifying responsible individual(s) is difficult Disciplinary action is the responsibility of the Command Look at everything from all sides. Do not jump to conclusions Treat people as you would like to be treated in the same situation. Do not be judgemental Determine what was done (or not done) Why it was done (or not done) Who is responsible Let management decide the level of discipline to be administered. It is their responsibility. Identifying responsible individual(s) is difficult Disciplinary action is the responsibility of the Command Look at everything from all sides. Do not jump to conclusions Treat people as you would like to be treated in the same situation. Do not be judgemental Determine what was done (or not done) Why it was done (or not done) Who is responsible Let management decide the level of discipline to be administered. It is their responsibility.

29. ADA Investigations �Conducting an Investigation �DOs DO maintain high standard of professionalism DO get fully explained answers DO develop facts DO respect the interviewee DO be fair, thorough, objective, and discreet DO ask the hard questions DO thoroughly research the standard DO be prepared for the unexpected

30. ADA Investigations �Conducting an Investigation �DON�Ts DON�T browbeat, mislead, threaten, or intimidate DON�T make promises DON�T give advice or counsel DON�T guarantee testimony cannot be used for adverse action DON�T lose patience, temper, argue, or be snide DON�T tell an untruth to get a truth DON�T lead the interviewee or put words in their mouth DON�T ask long, multiple, or involved questions

31. ADA Investigations � SUMMARY

32. Resources DOD FMR www.dtic.mil/comptroller/fmr FMB www.navweb.secnav.navy.mil ASN(FM&C) Office of Counsel olsen.margaret@hq.navy.mil Wood.bryan@hq.navy.mil ASN(FM&C) Budget Policy and Procedures meadows.linda@hq.navy.mil maguire.maggie@hq.navy.mil patrick.stephen@hq.navy.mil jewett.lynn@hq.navy.mil