Annual Report 2017

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What is CAPI?

Corruption costs taxpayers trillions of dollars a year worldwide that could be better spent on social, health, education, and other programs to improve the lives of citizens worldwide. Despite the pervasiveness of corruption, finding, stopping and preventing it is daunting. There are anti-corruption offices in place across the country and globe, but the system overall is relatively young and largely decentralized. Individual corruption-fighting offices are often disparate and adrift, unconnected to peers and experts in other jurisdictions. These offices face common challenges and can benefit greatly from active collaboration and shared best practices. In 2013, the New York City Department of Investigation partnered with Columbia Law School to create the Center for the Advancement of Public Integrity (CAPI). Over the past nearly five years, CAPI has grown into a platform through which public integrity professionals can connect with each other and provides the resources to help them succeed.

Executive Director Jennifer Rodgers CAPI is a nonprofit resource center dedicated to bolstering anti-corruption research, promoting key tools and best practices, and cultivating a professional network to share new developments and lessons learned, both online and through live events. Unique in its municipal focus, CAPI’s work emphasizes practical lessons and practitioner needs.

Through this network, in which anti-corruption practitioners and agencies can share their insights, methods, and successes, CAPI seeks to support the fight against corruption in all its forms. We strive to create an environment where members of our community learn from one another to better promote public integrity and good governance.

Our Mission: CAPI aims to improve the capacity of public offices and practitioners to deter, identify, and combat corruption. We work to:

• Build and support a vibrant community of leaders in the public integrity field. • Develop tools and resources to help governments and practitioners fight corruption. • Promote research and scholarship on important public integrity issues.

To join our community and receive information about our activities and upcoming events, visit our website at www.law.columbia.edu/CAPI.

Follow @ColumbiaCAPI:

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Table of Contents

Message from the Director 1

Highlights from 2017 2

Strengthening the Public Integrity Community 3 • Conferences and Trainings 3 • Sharing Perspectives on Public Integrity 4 • Outreach to Practitioners, Scholars, and the Public 5

Building an Online Knowledge Hub 6

On the Horizon 8

Financial Statement 9

Our Team 10

Our Supporters 11

Message from the Director

2017 was yet another exciting and productive year for CAPI! Building on the tremendous support we have received from our founding partners, the New York City Department of Investigation and Columbia Law School, the Laura and John Arnold Foundation, our dedicated advisory board, and individuals, we have accomplished all of our goals for this year and more. Among other things, we are especially delighted that we:

• Continued to grow our community of public integrity professionals including scholars and practitioners to more than 7,200 over the course of the year through our social media presence and extremely popular Weekly Corruption Digest.

• Launched our Members Forum which has over 3,500 registered members.

• Attracted over 2,000 attendees to our nine unique events which included trainings, conferences, and academic lectures featuring prominent speakers in the public integrity field, including our signature Global Cities conference. Executive Director Jennifer Rodgers on MSNBC.

• Published our data analytics framework, Taking a Byte Our of Corruption to help municipalities use data to assist in their assessment of corruption risks through the generous support from the Laura and John Arnold Foundation.

• Expanded our Knowledge Hub of issue briefs, community contributions, and practitioner toolkits partly in accordance with our grant from the Laura and John Arnold Foundation.

• Began research on district attorney campaign finance practices at the request of Manhattan District Attorney Cyrus Vance Jr.

• Launched our year-end fundraising campaign, #DeterIdentifyCombat, which raised over $55,000.

• Continued to expand our reach by speaking about CAPI and our work at numerous conferences and other events and appearing in media outlets including The Wall Street Journal, The New York Times, CNN, and MSNBC’s Eleventh Hour with Brian Williams, All in with Chris Hayes, and PBS Thirteen’s Metrofocus.

I am so proud of what we have done to date, and I am looking forward to 2018 when even more of our work will be ready for release. Keep an eye out for our full calendar of events, the publication of our district attorney campaign finance reform report, and much more. In our current political climate, public integrity practitioners and government ethics oversight bodies are increasingly important. With the continued support of our advisory board, DOI, Columbia Law School, and our CAPI community, we plan to further grow as a vital resource in the critical fight for integrity in our cities. Thanks for your support and involvement in CAPI!

Highlights from 2017

A growing community In 2017, our membership continued to grow from 5,500 to over 7,200. More than 1,000 participants from around the world attended our events. Our popular weekly digest—packed with corruption-related news stories, links to cutting-edge scholarship, and information about CAPI projects and events—reaches more than 2,600 readers. Our new online members forum, which was launched in June, sparks new connections and conversations to sustain a vibrant community of professionals and scholars.

A full calendar of events CAPI held 9 events this year, including trainings, general interest conferences, academic lectures, and our signature conference, Global Cities II. Altogether these events served hundreds of public integrity professionals, students and scholars, the news media, and interested citizens from around the world. We featured speakers from prominent organizations including the Manhattan District Attorney’s Office, the United States Office of Government Ethics, the World Bank Group, the Minority Business Development Institute, the New York City Department of Investigation, Mayor’s Office of the City of Paris, the City of Bogotá, and others. Our two-day Global Cities conference featured professional workshops, for practitioners on the front lines of protecting public integrity to learn best practices from their colleagues worldwide.

An online library of practice-oriented resources In part with the generous support of the Laura and John Arnold Foundation, CAPI continued to expand our Knowledge Hub of practical resources for public integrity professionals and scholars. Authored by experts in the field, our eleven issue briefs, five community contributions, and four practitioner toolkits published last year cover issues ranging from a guide to commonly used federal statures in public corruption cases to best practices in municipal oversight. Finally, we also published seven Profiles in Public Integrity, and four What Comes Next? briefs on breaking corruption stories.

Taking a Byte Out of Corruption: A Data Analytic Framework for Cities to Fight Fraud, Cut Costs, and Promote Integrity Thanks to a generous commitment from the Laura and John Arnold Foundation, CAPI convened an expert working group of leading anti- corruption practitioners from government, the private sector, and civil society to examine ways to bring integrity oversight into the 21st century. This project produced a report with actionable recommendations and ideas that cities nationwide can implement to enhance their corruption control procedures.

Strengthening the Public Integrity Community

CAPI organizes conferences and other gatherings to bring together members of the public integrity community to share knowledge and form connections and collaborations. Our events at CAPI help bridge the gap between practitioners, scholars, policymakers, and engaged citizens.

Conferences and Trainings

CAPI had a full calendar of programming aimed to provide practitioners from around the world with high-quality training in the latest advances in anti-corruption efforts and to engage scholars, students, and the public on emerging issues in public integrity in 2017. CAPI was able to offer free Continuing Legal Education credit to the many qualified members of the New York Bar who attended our events.

Improving Organizational Culture: How Public Institutions Can Promote Integrity and Prevent Corruption March 10 In this two-panel conference, CAPI hosted leaders from both the public and private sectors to discuss practical lessons for promoting integrity in organizational culture. Topics included red flags of a corrupt culture, how government agencies promote transparent and accountable workplaces, and best practices to instill ethical behavior in employees.

M/W/DBE Workshop: Identifying Problems and Moving Forward with Solutions April 19 CAPI hosted a panel discussion focused on the Minority, Women, and Disadvantaged Business Enterprise (M/W/DBE) programs in place in New York City and New York State. Relevant stakeholders from organizations such as the Minority Business Development Institute, CohnReznick, and the Manhattan District Attorney’s Office addressed deficiencies in the programs as they currently exist and proposed possible improvements.

Global Cities II June 8-9 As the second installment of our signature conference, Global Cities II brought together anti-corruption leaders from government and civil society worldwide, including delegates from Bogotá, Cape Town, London, Melbourne, Miami, Montreal, New York, Paris, Rio de Janeiro, and San Francisco, to discuss important topics such as using data analytics to combat corruption, government transparency, enforcement challenges and victories, and innovations in oversight. This year we also included afternoon workshop sessions for participants to learn best practices from their colleagues around the world.

The Battle Against Procurement Fraud: Exploring Innovative Solutions to Vexing Problems October 20 Procurement fraud costs citizens more money than any other kind of corruption—billions of dollars a year worldwide. Moreover, procurement processes can be extremely complicated for participating vendors. CAPI hosted a conference on how government agencies can identity, prevent, and control such fraud, while ensuring a process that is efficient and not overly burdensome for applicants.

Ethics, State Constitutions, and Election Day: What You Should Know about the “Con Con” vote October 24 CAPI and the Hugh Carey Institute for Government Reform at Wagner College jointly conducted an extensive academic study of ethics-related provisions in the constitutions of all 50 states, in an attempt to determine the most effective way to use the New York State Constitution to curb the state’s corruption problem. This conference was a culmination of our findings in advance of the constitutional convention vote.

Sharing Perspectives on Public Integrity

In addition to our conferences and trainings, CAPI hosted a number of events featuring prominent and respected speakers from academia, government, and the private sector, focusing on salient current events and how they relate to anticorruption efforts and trends.

Corruption Concerns and Conflict-of-Interest Issues in the Trump Presidency February 1 and 7 CAPI convened a two-part discussion series on the potential conflicts of issues in the new administration. Professor Matthew Stephenson from Harvard Law School, Professor Jay Wexler from Boston University Law School, Professor Richard Briffault from Columbia Law School, and Jeremy Feigelson from Debevoise & Plimpton LLP addressed questions such as: Will President Trump be America's first kleptocrat? Did appointing the President's son-in-law to a White House post violate federal anti-nepotism provisions? Is the President in violation of the Constitution's Emoluments Clause, and if so, what are the available remedies? And what impact will Trump and his appointees have on anti-corruption enforcement measures like the FCPA?

From CLS to Prison October 10 CAPI also explored a young lawyer's descent into addiction, crime, and disbarment. Leigh Sprague graduated with honors from Columbia Law School in 1999 and embarked on a promising legal career doing international transactional work. Fifteen years later, he started serving a federal prison sentence for stealing millions of dollars from his Russian oligarch client. CAPI and Columbia Law School’s Social Justice Initiatives hosted Mr. Sprague as he shared his story by describing his downfall from ethical lawyer to convicted felon, including his analysis of the causes and many mistakes he made along the way. This discussion was led by ethics and white collar expert Hank Shea, who is a Distinguished Senior Fellow at the University of St. Thomas School of Law, a University Associate at the James E. Rogers College of Law, and a former federal prosecutor.

The Office of Government Ethics and the Trump Administration October 17 CAPI and Columbia’s Social Justice Initiatives hosted former Director of the U.S. Office of Government Ethics Walter Shaub for a discussion on the conflicts of interest within the Trump administration that could negatively impact the public good. Walter Shaub described his work, the importance of ethics in government, the failure of the Trump administration to provide a clean and accountable Presidency, and what he and others are doing about it.

Outreach to Practitioners, Scholars, and the Public

CAPI connects like-minded individuals and institutions to share resources across the public integrity community.

Speaking Engagements: CAPI leaders regularly lecture on emerging integrity issues. In 2017, our staff participated in the following events: • Federal Bar Council panel on corruption issues • Gov Tech Conference • Columbia Law School Federalist Society event on corruption prosecutors • Columbia University Day of Data • CLS Brazil conference on anti-corruption • CLS Brazil panel on compliance • 2017 Council on Governmental Ethics Laws Conference • CLS Women’s Law Association panel on Trump Administration policies • Social Justice Initiatives panel of how to be a prosecutor

CAPI in the Press: Our team is regularly consulted by domestic and international press for insights into breaking public corruption news. In 2017, our expertise and work were featured in publications including the Washington Post, WYNC’s Takeaway, NPR’s All Things Considered, the New York Times, USA Today, and Buzzfeed News. Executive Director Jennifer Rodgers also appeared on CNN and several MSNBC shows, including The Eleventh Hour with Brian Williams, All In with Chris Hayes, and The Beat with Ari Melber.

Outreach Survey: Through our online Knowledge Hub, subscriber network, and events, CAPI is building Join us Online! an active global network of public integrity professionals and engaged citizens. In 2017, our member list grew to Web: www.law.columbia.edu/CAPI over 7,200. We conduct comprehensive surveys of the thousands of public integrity offices in the United Twitter: @columbiaCAPI States, in order to increase CAPI’s membership base, as well as to better facilitate peer-to-peer exchanges and Facebook: www.facebook.com/ColumbiaCAPI connect offices to the constituencies they serve. LinkedIn: Center for the Advancement of Public Weekly Digest: Our popular Weekly Corruption Integrity Digest. This email reaches more than 2,600 readers every Friday, keeping them up to date with corruption- YouTube: Columbia CAPI related news stories, links to cutting-edge scholarship, and information about CAPI projects and events.

Building an Online Knowledge Hub

CAPI has leveraged our diverse and accomplished membership base to develop projects and publications that are innovative, practical, and timely.

United States Anti-Corruption Oversight: A State-by-State Survey: In 2016, CAPI conducted an unprecedented study of the public integrity landscape in all 50 U.S. states, plus the federal government and District of Columbia. For each state, CAPI authored a report on relevant laws and jurisprudence, institutions and safeguards, and recent scandals and reforms. Compiled with the help of student researchers, each report has been reviewed by an in-state expert. The reports, published on a rolling basis throughout the year, are presented through an interactive online map that makes it easy for practitioners and researchers to compare practices and track emerging trends across state lines. In 2017, CAPI continued work on a parallel project comparing corruption challenges and responses in cities across the nation and around the world.

Practitioner Toolkits: CAPI extended our database of practitioner toolkits. In 2017, we published four practitioner toolkits including: Best Practices in Municipal Oversight, A Guide to Commonly Used Federal Statutes in Public Corruption Cases, Improving Organizational Culture: How Public Institutions Can Promote Integrity and Prevent Corruption, and The Resources of New York’s Public Integrity Agencies: Putting Them to Work for You.

Integrity in Brief: CAPI has published a series of practice-oriented briefs authored by or in collaboration with industry leaders. • The Maritime Anti-Corruption Network: A Model for Public-Private Cooperation Against Graft by Alison Taylor and Martin Benderson, Business for Social Responsibility. • Seven Principles of Highly Effective Inspectors General by Glenn Fine, Acting Inspector General of the United States Department of Defense • Installing a Moral Learning Process: Integrity Beyond Traditional Ethics Training by Julien Topal, Consultant and Trainer, Governance and Integrity. • Innovations in Oversight: Cities’ Proactive Approaches to Fighting Corruption by CAPI staff. • Balancing Integrity with Privacy Interests: Fighting Cyber-Corruption with Background Checks by Robin J. Kempf, Assistant Professor, John Jay College of Criminal Justice, City University of New York and Chelsea Binns, Assistant Professor of Criminal Justice, Legal Studies, and Homeland Security at St. John’s University. • Data Analytics, The Next Frontier: Taking a Byte Out of Corruption by CAPI staff. • Sports Corruption: The History and Challenges of Anti-Doping Regimes in the U.S. and Abroad by CAPI staff. • Transparency Trends around the World by CAPI staff. • Enforcement Challenges and Victories by CAPI staff. • Challenges Facing New Oversight Bodies by CAPI staff. • Ethical Issues in the Trump Era by CAPI staff.

Community Contributions: CAPI connects practitioners and scholars in the public integrity field and helps ensure their valuable work reaches a broader audience. To that end, we present projects and publications authored by our community members. • America’s Familial Tribalism: Will it Impact Education Internationally – A comparative analysis on familial tribalism in Bosnia and the United States and how it impacts education systems. • Recent Reforms of Switzerland’s Anti-Corruption Laws: What they Mean for International Sports Organizations – An evaluation of Switzerland’s anti-corruption laws after the 2015 FIFA scandal. • Snowing and Towing in Montreal: The Inspector General’s Fight Against Collusion in Two Industries – A case study of a large corruption rings and its dismantling by the Office of the Inspector General of Montreal. • Assessing Australia’s National Integrity Framework: A New Way Forward – A report examining if Australia should establish a national integrity commission. • Independent Inspectors General Under Siege: A Tale of Two State Inspectors General – Two detailed accounts of Inspectors General and their successes and challenges in office.

What Comes Next?: Our series of briefs on the latest news in the world of public integrity and anti-corruption provides insights that delve beneath the headlines. • The Corruption Case of Former New York State Assembly Speaker Sheldon Silver • The FIFA Report • New York State Constitutional Convention • The Lulu Stipend

Profiles in Public Integrity: Our ongoing series of interviews with professionals, leaders, and innovators in the public integrity field. • Amie Ely – Director, National Attorneys General Training and Research Institute • Jan Yamane – Executive Director and Legal Counsel, Honolulu Ethics Commission • Jacques Duchesneau – Inspector General, Saint-Jérôme, Quebec • Melinda Miguel – Former Chief Inspector General, Florida; CEO and President of Melinda Miguel Solutions • Laurence Cockcroft – Author, and Co-Founder of Transparency International • Mark Quiner – Director, Center for Ethics in Government • Tom Hood – Executive Director, Mississippi Ethics Commission

Public Integrity in the News: To keep our community members abreast of developing stories that impact their work, CAPI’s homepage features a rotating roster of relevant news stories.

Conference Resources: With speakers’ permission, CAPI live streams and publishes video recordings of many of our events, along with presentation slides and other materials for those unable to attend in person.

On the Horizon

Raising the Bar: Reducing Conflicts of Interest and Increasing Transparency in District Attorney Campaign Fundraising: In October, CAPI began researching and writing an independent report on how the Manhattan District Attorney's Office deals with campaign contributions. We were approached by District Attorney Cyrus Vance's team to conduct a review of what is currently required by law for prosecutor's offices and, in 90 days, report back with recommendations and potential policy changes that DA Vance’s campaign can implement. This report will be published in January 2018.

Could (and should) you be looking proactively at data to find corruption?: Ethical and Efficient Corruption Detection for Governmental Agencies and Corporations: Red flags for corruption are often lost within the volume, complexity and fragmentation of data. What’s more, resource constraints, outdated systems and a hesitancy to “look under the hood” keep companies and public agencies from mining data to detect key risk indicators. In the Spring of 2018, CAPI will host The Integrity Forum, an initiative of Exiger, to discuss how corporations, financial institutions and public organizations can use data analytics to take reasonable, cost-effective steps that allow for actionable intelligence, turning the sheer volume of data from a liability into an asset.

Expanding our Knowledge Bank: In 2018, CAPI will further increase its array of practical resources and tools, by expanding a series of practice-oriented issue briefs along with new community contributions and practitioner toolkits. Upcoming publications cover topics including: Inspector General Immunity, seven addition principals of highly effective Inspectors General, and the New York City Department of Investigation’s campaign to clean up the Department of Correction.

City Integrity Oversight: As a follow-up to our 50-State Oversight project, CAPI is investigating corruption challenges and responses in cities across the nation and around the world, to frame oversight efforts in a comparative context.

Comparative Subnational Project: Is there an advantage to fighting corruption at a subnational level? Corruption networks are often local in nature, and local oversight bodies may be better positioned to combat such issues. CAPI is exploring this question by undertaking a qualitative comparative analysis of the structures and experiences of subnational anti-corruption authorities in two federalist countries: the U.S. and Australia.

Financial Statement

General Operating Fund Balance (January 1, 2018):1 $472,591.13

Starting Funds (January 1, 2017): $689,615.22

Spending from Operating Fund in Calendar Year 2017: $217,024.09

Restricted Grant Account Fund Balance (January 1, 2018):2 $227,487.29

Note on Operating Costs: As a Columbia Law School center, CAPI does not directly pay for facilities, office management, and related organizational costs. Rather, the university levies a 10% indirect cost rate against all expenses.

Annual Salaries and Benefits:3 $351,794.75

1 Figure includes all donations and sponsorships. Excludes restricted grants from the New York City Department of Investigation and the Laura and John Arnold Foundation. 2 Reflects value of all program/activity restricted grants. 3 Columbia Law School’s Fiscal Year 2017 began on July 1, 2016. Annual Salaries and Benefits reflects annual payroll obligation effective July 1, 2016. The Law School’s benefits cost rate decreased from 30.5% to 29.75% in Fiscal Year 2017. Figure includes 10% Indirect Cost Rate levied by Columbia Law School.

Our Team Staff: Jennifer G. Rodgers Rachel Pollan Izaak Bruce Jason Yee Executive Director Program Officer Research Fellow Research Fellow

Advisory Board:

Rose Gill Hearn (Chair) Municipal Integrity Principal, Bloomberg Associates Michael Bosworth Senior Counsel and Chief Compliance Officer, MacAndrews & Forbes Richard Briffault Joseph P. Chamberlain Professor of Legislation, Columbia Law School (L-R) Program Officer Rachel Pollan, Executive Director Jennifer Rodgers, Research Fellow Izaak Marianne Camerer Bruce, Research Fellow Jason Yee. Co-founder, Global Integrity Sharon Cohen Levin Partner, WilmerHale Jeremy Feigelson Partner, Debevoise & Plimpton LLP Margaret Friedberg Former Assistant United States Attorney, United States Attorney’s Office for the Eastern District of New York Elizabeth Glazer Director, New York City Mayor’s Office for Criminal Justice Daniel S. Goldman Former Assistant United States Attorney, United States Attorney’s Office for the Southern District of New York Michele Hirshman Partner, Paul, Weiss, Rifkind, Wharton & Garrison LLP Michael Kim Co-founder and Partner, Kobre & Kim LLP Paul Lagunes Assistant Professor, Columbia University School of International and Public Affairs Jeri Powell Director of Intergovernmental Affairs, New York City Department of Investigation Daniel Richman Paul J. Kellner Professor of Law, Columbia Law School Stephen C. Robinson Partner, Skadden, Arps, Slate, Meagher & Flom LLP Pasqualino Russo Partner, Windels Marx Lane & Mittendorf LLP

Our Supporters

CAPI is funded entirely by donations and grants. We would like to thank the following organizations and for their crucial support. CAPI discloses all donations exceeding one thousand dollars, in accordance with our Conflict of Interest policy, available at law.columbia.edu/public-integrity/about/conflict-interest-policy.

Founding Supporter: New York City Department of Investigation

The Center for the Advancement of Public Integrity (CAPI) was founded thanks to generous support from the New York City Department of Investigation.

Foundation Supporters: • The Laura and John Arnold Foundation – $610,870.22 (two-year commitment in support of our Modernizing the Fight Against Local Graft and Knowledge Hub initiatives). • The Eric and Margaret Friedberg Foundation - $10,000. • Schwab Charitable (Daniel and Corinne Goldman)- $10,000

Corporate Supporters: • Bloomberg- $5,000 • CohnReznick LLP- $5,000 • Debevoise & Plimpton LLP- $5,000 • Kobre & Kim LLP- $5,000

Individual Donors (Greater than $1,000): • Rose Gill Hearn and Frank Hearn • Joseph DeLuca • Jennifer and Sean Rodgers • Elizabeth Glazer • Sharon Cohen Levin • Michael Bosworth • Pasqualino Russo

If you would like to support CAPI, please contact at us at [email protected] or visit the Support CAPI page on our website at www.law.columbia.edu/CAPI.