2020 Annual Anti-Corruption Report
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The City of New York Department of Investigation MARGARET GARNETT COMMISSIONER 180 MAIDEN LANE Release #03 -2021 NEW YORK, NY 10038 nyc.gov/doi 212-825-5900 FOR IMMEDIATE RELEASE CONTACT: DIANE STRUZZI THURSDAY, MARCH 4, 2021 NICOLE TURSO (212) 825-5931 DOI ISSUES ANNUAL ANTI-CORRUPTION REPORT IDENTIFYING CORRUPTION HAZARDS AND THE STRATEGIES TO REMEDY THEM AT 61 CITY AGENCIES AND ENTITIES --This annual report is mandated by Executive Order 105 -- Margaret Garnett, Commissioner of the New York City Department of Investigation (“DOI”), issued the City’s annual Anti-Corruption Report today, a progress report on City agencies’ anti-corruption programs, which includes the vulnerabilities agencies have self-identified as problems and the strategies they are using to remedy them. The compilation of the report is mandated by Executive Order 105 (“EO 105”), which consolidated the Inspector General (“IG”) function within DOI during the 1980s and established the Commissioner of DOI as the City’s independent Inspector General. EO 105 also establishes that agency heads are principally responsible for maintaining corruption-free agencies and calls upon DOI to assist in the agencies’ anti-corruption efforts by preparing this annual report. The 2020 Anti-Corruption Report is the first one to be issued publicly. A copy of the Report is attached to this release and can be found on our reports page or by clicking here. “This annual report catalogues City agencies’ and entities’ corruption vulnerabilities from their own perspectives, reflecting what they view as problems and the fixes they are employing. This year we have reimagined the report, making it relevant for governing in the 21st century and including agencies that historically have not been asked to participate, such as the Mayor’s Office and the NYPD. DOI is issuing it publicly for the first time to promote effective information-sharing on common integrity problems and the potential ways City government can fix those problems. We hope this public report will allow New Yorkers to better understand some of the integrity obstacles agencies’ face and how agencies are choosing to remedy them as well as instill greater insight and confidence in government operations.” This annual report is different than most other DOI reports in that it is not the product of DOI’s investigative work, but instead provides a broad overview of the approach City agencies are taking to fight corruption from the perspective of the 61 City agencies and entities that responded. DOI’s Inspectors General worked with agency executives to assess corruption haZards, develop anti-corruption policies to reduce them, and identify areas warranting further DOI review. The 2020 report marks several firsts, including garnering the voluntary participation of 12 additional non- mayoral agencies, such as the Board of Elections, City Council, City Comptroller, various City Libraries, all City Public Administrator’s offices, and the Office of the Public Advocate. Also a first, is focusing the agencies’ responses on a relevant corruption topic, with this year’s being the COVID-19 pandemic and the corruption haZards arising in the pandemic response, as well as other public health and safety corruption haZards. Some more of the broad themes addressed include challenges and policies involving procurement and securing pandemic- response equipment and services, and transition to remote work. Agencies were asked to address several questions relating to potential corruption haZards, specifically: 1. What steps did the agency take to minimiZe corruption haZards in the procurement, storage, and distribution of Personal Protective Equipment (“PPE”) and other pandemic response equipment (e.g., disinfecting wipes or hand sanitiZer)? 2. What steps did the agency take to mitigate the risk of fraud when employees transitioned to remote work (e.g., time and attendance abuse, or safeguarding of confidential agency or client information)? 3. What steps did the agency take to minimiZe fraud by contractors engaged to participate in the emergency pandemic response? Agencies were also asked: (i) what were the most substantial public health and safety corruption haZards the agency faced during the reporting period; (ii) to reflect on the corruption haZards they identified in 2019, if applicable, and any ongoing mitigation efforts; and (iii) to expound on any additional corruption haZards faced by the agency in 2020. Next year’s report is expected to focus on corruption haZards in the area of cybersecurity and data protection. DOI is one of the oldest law-enforcement agencies in the country and New York City’s corruption watchdog. Investigations may involve any agency, officer, elected official or employee of the City, as well as those who do business with or receive benefits from the City. DOI’s strategy attacks corruption comprehensively through systemic investigations that lead to high-impact arrests, preventive internal controls and operational reforms that improve the way the City runs. DOI’s press releases can also be found at twitter.com/NYC_DOI Bribery and Corruption are a Trap. Don’t Get Caught Up. Report It at 212-3-NYC-DOI. 2 New York City Department of Investigation 2020 Annual Anti‐Corruption Report Margaret Garnett Commissioner Annual Anti-Corruption Report Introduction 1 The 2020 Anti-Corruption Report 2 COVID-19 State of Emergency 3 Corruption Hazards in Pandemic Response 4 A. Procuring and Securing Pandemic-Response Equipment and Services 4 Procurement Process 5 Equipment Contracts 5 Services Contracts 8 B. Transition to Remote Work 9 Time and Attendance 10 Technology and Confidential Information 11 Agency Anti-Corruption Self-Evaluations 14 Administrative Tax Appeals, Office of (OATA) 15 Administrative Trials & Hearings, Office of (OATH) 17 Aging, Department for the (DFTA) 22 Board of Elections 26 Buildings, Department of (DOB) 28 Business Integrity Commission (BIC) 37 Children’s Services, Administration for (ACS) 41 Comptroller, Office of the 48 City Council, New York 52 City Planning, Department of (DCP) 53 Citywide Administrative Services, Department of (DCAS) 56 Civilian Complaint Review Board (CCRB) 70 Consumer and Worker Protection, Department of (DCWP) 74 Contract Services, Mayor's Office of (MOCS) 80 Correction, Department of (DOC) 85 Criminal Justice, Mayor's Office of (MOCJ) 93 Cultural Affairs, Department of (DCLA) 96 Design & Construction, Department of (DDC) 100 Employees’ Retirement System, NYC (NYCERS) 103 Economic Development Corporation, NYC (NYCEDC) 107 Emergency Management, NYC (NYCEM) 115 Environmental Protection, Department of (DEP) 120 Finance, Department of (DOF) 137 Financial Information Services Agency & Office of Payroll Administration (FISA-OPA) 141 Fire Department (FDNY) 144 Health and Mental Hygiene, Department of (DOHMH) 155 Homeless Services, Department of Social Services/Department of (DHS) 163 Housing Authority, NYC (NYCHA) 168 Housing Development Corporation, NYC (HDC) 177 Housing Preservation & Development, Department of (HPD) 182 NYC Department of Investigation | i Annual Anti-Corruption Report Human Resources Administration, Department of Social Services/ (HRA) 189 Human Rights, Commission on (CCHR) 194 Information Technology & Telecommunications, Department of (DoITT) 201 Investigation, Department of (DOI) 208 Labor Relations, Office of (OLR) 211 Landmarks Preservation Commission (LPC) 215 Law Department (LAW) 217 Library, Brooklyn Public (BPL) 221 Library, New York Public (NYPL) 223 Library, Queens Borough Public (QPL) 226 Management and Budget, Office of (OMB) 228 Mayor's Office 231 Medical Examiner, Office of Chief (OCME) 233 Parks & Recreation, Department of (DPR) 240 Police Department (NYPD) 244 Probation, Department of (DOP) 249 Public Administrator, Bronx County 254 Public Administrator, Kings County 256 Public Administrator, New York County 258 Public Administrator, Queens County 260 Public Administrator, Richmond County 262 Public Advocate, Office of the 264 Records, Department of (DORIS) 266 Sanitation, Department of (DSNY) 272 School Construction Authority, NYC (SCA) 281 Sheriff, Office of the 286 Small Business Services, Department of (SBS) 294 Standards and Appeals, Board of (BSA) 298 Taxi and Limousine Commission (TLC) 301 Transportation, Department of (DOT) 305 Veterans' Services, Department of (DVS) 312 Youth and Community Development, Department of (DYCD) 314 NYC Department of Investigation | ii Annual Anti-Corruption Report Introduction As head of the Department of Investigation (DOI), the Commissioner of Investigation serves as the City’s independent inspector general, supervising a staff of Inspectors General, investigators, attorneys, forensic auditors, computer forensic specialists, and administrative personnel. This reflects a consolidation of the Inspector General function from the various city agencies to DOI in 1986, pursuant to Mayoral Executive Order No. 105 (EO 105).1 While EO 105 consolidated the Inspector General function within DOI, it also made clear agency heads “remain principally responsible for maintaining corruption-free agencies through this formal collaborative arrangement by developing procedures and systems to protect against corrupt and other criminal activity affecting their agency, by hiring employees of integrity and competence, by careful managerial oversight and high-quality supervision of agency employees, and by adequate review and monitoring of fiscal commitments and processes within their respective agency.” This mandate is further supported