Selected reports issued by the Office of the State Comptroller during the week ending July 2, 2016

Selected reports issued by the Office of the State Comptroller during the week ending July 2, 2016

Source: Office of the State Comptroller

Click on text highlighted in color to access the entire report 

Former Alexandria Town Clerk Pleads Guilty in Theft

Former Alexandria Town Clerk Ellen Peck pleaded guilty in Jefferson County Court to stealing $26,285 in public funds. Peck pocketed cash paid by residents for fines, fees and surcharges, according to State Comptroller Thomas P. DiNapoli.

Since taking office in 2007, DiNapoli has committed to fighting public corruption and encourages the public to help fight fraud and abuse.  Individuals can report allegations of fraud involving public funds by calling the toll-free Fraud Hotline at 1-888-672-4555, by transmitting an e-mail to investigations@osc.state.ny.us, by filing a complaint online athttp://osc.state.ny.us/investigations/complaintform2.htm or by mailing a complaint to Office of the State Comptroller, Division of Investigations, 14th Floor, 110 State St., Albany, NY 12236.

CDTA Overtime Expenses and Ridership Growing

The Capital District Transportation Authority’s reported overtime payments accounted for 20 percent of the authority’s total employee compensation in the 2015 fiscal year, more than twice the proportion of other upstate regional transit agencies, amid steady ridership growth in recent years, according to a reportreleased by State Comptroller Thomas P. DiNapoli.

Guide to regulatory enforcement published by McGraw-Hill Education

Guide to regulatory enforcement published by McGraw-Hill Education

Source: Marissa Madill, Smith Publicity, Inc.

In their recently published book, The New Era of Regulatory Enforcement: A Comprehensive Guide for Raising the Bar to Manage Risk, authors Richard H. Girgenti, J.D., [National and Americas Leader for KPMG LLP’s Forensic Advisory Services], and Dr. Timothy P. Hedley, [KPMG’s Global Lead for Fraud Risk Management Services], provide insights into challenges organizations may face in conducting business in a rapidly changing regulatory environment. 

Noting that "In today’s global and digital world, the increasingly complex regulatory and business landscape has created unprecedented challenges and risks for businesses in all industries,” Girgenti and Hedley, supported by KPMG professionals with varied areas of regulatory and enforcement knowledge, explore government policies, strategies and tactics driving enforcement activity, and the most effective approaches for identifying, detecting, avoiding and responding to enterprise and industry risks. 

The New Era of Regulatory Enforcement provides clear guidance on what organizations need to do to mitigate risks, as well as insight into:

Public policies driving increased enforcement activity;

Government expectations for organizational compliance and integrity;

Tools and techniques deployed by the government to identify, investigate and ensure organizational compliance; and

Steps prudent organizations must take to prevent, detect and, as necessary, respond to regulatory enforcement risks.

Girgenti and Hedley also co-authored Managing the Risk of Fraud and Misconduct: Meeting the Challenges of a Global, Regulated, and Digital Environment [McGraw-Hill, 2011]. 

The New Era of Regulatory Enforcement is available in both hardcover and Kindle versions at  bookstores and through the Internet.

Recent decisions by Administrative Law Judges of the NYC Office of Administrative Trials and Hearings

Recent decisions by Administrative Law Judges of the NYC Office of Administrative Trials and Hearings

Human Resources Administration v Smart, OATH Index No. 1325/16

NYC Dept. of Transportation v Harris, OATH Index No. 1531/16 

Matter of Smart: In the Smart case, OATH Administrative Law Judge Kevin F. Casey found that a job opportunity specialist, Averyl Smart, guilty of charges of [1] speaking on her cell phone while a client was waiting, [2] refusing to set up her work voicemail, and [3] burning the edges of a disciplinary memorandum. Judge Casey, however, dismissed the allegation charging that Smith had made disrespectful comments to a supervisor.

Finding that was Smart guilty of three of the four charges alleged against her, the ALJ recommended that a 15-day suspension without pay be imposed as her penalty.

The decision is posted on the Internet at: 

http://archive.citylaw.org/wp-content/uploads/sites/17/oath/16_cases/16-1325.pdf

Matter of Harris: The New York Department of Transportation alleged that Maurice Harris, a highway repairer, intentionally pushed and cursed his supervisor.

Administrative Law Judge Alessandra F. Zorgniotti found that Harris had intentionally pushed his supervisor but had been provoked by the supervisor but that the Department of Transportation had filed to prove that Harris had cursed him.

Considering Harris’ 18 years of service with the Department and his a minor disciplinary record – in 2006 he was given a written reprimand for failing to notify his work location that he was unable to report to work and in 2012 he was suspended for five days for using in appropriate language towards a supervisor -- ALJ Zorgniotti recommended a ten-day suspension without pay.

The decision is posted on the Internet at:

http://archive.citylaw.org/wp-content/uploads/sites/17/oath/16_cases/16-1531.pdf

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The Discipline Book - A 458 page guide focusing on New York State laws, rules, regulations, disciplinary grievances procedures set out in collective bargaining agreements and selected court and administrative decisions concerning disciplinary actions and the termination of permanent, provisional, temporary and term state and municipal public officers and employees. For more information click on http://booklocker.com/5215.html

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Determining whether a collective bargaining agreement provides for the arbitration of an alleged violation of the agreement

Determining whether a collective bargaining agreement provides for the arbitration of an alleged violation of the agreement

In the Matter of Wilson Cent. Sch. Dist. (Wilson Teachers' Assn.), 2016 NY Slip Op 04866, Appellate Division, Fourth Department

The Wilson Central School District appealed Supreme Court’s decision denying its CPLR Article 75 petition to stay the arbitration of a grievance concerning the transfer of a physical education teacher from its high school to its elementary school and granted the Wilson Teachers’ Association’s cross petition to compel arbitration.

The Appellate Division unanimously affirmed the lower court’s ruling.

The sole issue to be resolved in this appeal, explained the Appellate Division, is whether the parties "have agreed to arbitrate the dispute at issue" pursuant to their collective bargaining agreement (CBA).” A court’s review of that question, however, is limited.  

Holding that Supreme Court “properly determined that, because the CBA contains a broad arbitration clause, and there is a reasonable relationship between the subject matter of the dispute, i.e., the transfer of a teacher to another position, and the general subject matter of the CBA," whether the grievance falls within the scope of the arbitration provision set out in the CBA is for the arbitrator, and not the court, to determine.

The decision is posted on the Internet at:

Top of Form

Bottom of Form

http://www.nycourts.gov/reporter/3dseries/2016/2016_04866.htm

Daughter admits stealing over $148,000 of New York State Public Employees’ Retirement System funds after failing to report her retired father’s death

Daughter admits stealing over $148,000 of New York State Public Employees’ Retirement System funds after failing to report her retired father’s death

Source: Office of the State Comptroller

New York State Comptroller Thomas DiNapoli and Attorney General Eric T. Schneiderman announced that Renee Kanas, 63, a resident of Tamarac, Florida, pleaded guilty today to Grand Larceny in the Third Degree, a Class D felony, for stealing over $148,000 in pension payments from the New York State and Local Employees Retirement System paid to her father, Jacob Yudenfreund, a New York State pensioner who died in March 2010.

By failing to notify the New York Stateand Local Employees Retirement System of her father’s passing in March 2010, Kanas she continued to collect his pension benefits for approximately five years. During this time period, Kanas lived off the stolen money and, among other things, took multiple cruises, including to the Caribbean.

In May 2016, Kanas was arrested on a warrant by City of Tamarac Road Patroland Broward County Sheriff’s in Florida. Having been brought to Albany Countyto face these charges, on June 30, 2016, Kanas today pleaded guilty before Honorable Thomas A. Breslin in Albany Supreme Court. As part of her plea, Kanas signed a confession of judgment in favor of New York Statein the amount of $148,092.24 and now faces up six years in state prison when she is sentenced.

The investigation was conducted by the New York State Comptroller’s Division of Investigations and the Attorney General. This case is the latest joint investigation under the Operation Integrity partnership of the Comptroller and Attorney General, which to date has resulted in dozens of convictions and more than $11 million in restitution. Comptroller DiNapoli and the Attorney General thank the City of Tamarac Road Patrol and Broward County Sheriff’s in Floridafor their assistance.

The Comptroller’s investigation was conducted by the Comptroller’s Division of Investigations, working with the New York Stateand Local Retirement System.

The Attorney General’s investigation was conducted by Investigator Mark Spencer, Investigator Casey Quinlan and Deputy Chief Antoine Karam. Forensic accounting was performed by Associate Forensic Auditor Meaghan Scovello. The Investigations Bureau is led by Chief Dominick Zarrella. The Forensic Audit Section is led by Chief Auditor Edward J. Keegan.

This case is being prosecuted by Assistant Attorney General Philip V. Apruzzese of the Criminal Enforcement and Financial Crimes Bureau. The Criminal Enforcement and Financial Crimes Bureau is led by Bureau Chief Gary T. Fishman and Deputy Bureau Chief Stephanie Swenton. The Division of Criminal Justice is led by Executive Deputy Attorney General Kelly Donovan.

Since taking office in 2007, DiNapoli has committed to fighting public corruption and encourages the public to help fight fraud and abuse.  Individuals can report allegations of fraud involving public funds by calling the toll-free Fraud Hotline at 1-888-672-4555, by transmitting an e-mail to investigations@osc.state.ny.us, by filing a complaint online athttp://osc.state.ny.us/investigations/complaintform2.htm or by mailing a complaint to Office of the State Comptroller, Division of Investigations, 14th Floor, 110 State St., Albany, NY 12236.