Section 1-1114. PROCEDURES FORREPORTS TO THE BOARD

 

1114.1The standard process for the Board learning of a violation is through the receipt of a report of a violation from the CFO on a form that the Board shall prescribe. However, the Board may also receive a report from the IG in instances where there is a conflict of interest for the CFO. The CFO (or IG) shall conduct a preliminary investigation and provide the Board, at a minimum, with the following information:

 

(a)The appropriation or fund account, the amount involved for each violation, and the date on which the violation occurred;

 

(b)The name(s), position(s), and agency(ies) of the employee(s) involved with the violation;

 

(c)All facts pertaining to the violation, including the type of violation (for example, over-obligation of an appropriation), the primary reason or cause, valid justification, and any germane report by the agency's fiscal official and/or the agency's counsel;

 

(d)A statement from the responsible employee(s) that fully addresses the employee's actions in the matter so that the Board has the benefit of the employee's description of what transpired, the basis for the employee's action, mitigating factors, justification, and other relevant factors when it considers culpability and recommends appropriate administrative action. If an employee declines to provide a written statement, the agency head (or Deputy Mayor, if the agency head is the alleged violator) shall provide a written statement to that effect;

 

(i)In the case where an employee is suspected of willfully and knowingly violating the Act, a statement as to whether, and when, this matter has been reported to the IG and/or the United States Attorney for the District of Columbia;

 

(j)A statement regarding the adequacy of the system of administrative controls;

 

(k)A statement of any additional action taken by, or at the direction of, the agency head (or Deputy Mayor, as appropriate), including any new safeguards provided to prevent recurrence of the same type of violation; and

 

(l)If another agency is involved, a statement concerning the steps taken to coordinate the report with the other agency.

 

1114.2In extraordinary circumstances, the Board may vote to accept a report from an alternative source.

 

source

Emergency and Proposed Rulemaking published at 51 DCR 7968 (August 13, 2004) [EXPIRED]; as amended by Final Rulemaking published at 54 DCR 4402 (May 11, 2007).